Search for: "Financial Industry Regulatory Authority"
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9 Oct 2019, 6:43 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
14 Feb 2018, 3:00 am
If you’re a solo practitioner, this list expands with numerous small business owner-specific items. 6 – Checkered Past The Financial Industry Regulatory Authority (FINRA), offers consumers a free tool to research advisors via its BrokerCheck website. [read post]
21 Dec 2018, 2:07 pm
Subtitle G sets forth a regulatory scheme by which states and Indian tribes may seek primary regulatory authority over hemp production in their territories by submitting monitoring and regulation plans to, and receiving approval from, the Secretary of Agriculture. [read post]
28 Nov 2023, 7:05 am
This change will reduce regulatory burdens on industry, while still ensuring that the FCA has sufficient data to carry out its functions. [read post]
7 Oct 2015, 8:27 pm
In addition to consulting with small business representatives, the Bureau will continue to seek input from the public, consumer groups, industry, and other stakeholders before continuing with the process of a rulemaking. [read post]
28 May 2021, 6:27 am
Hopkins’ BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA) contains several recent disclosures, including two customer disputes, a regulatory action initiated by FINRA, as well as a Complaint filed by the United States Securities and Exchange Commission (SEC). [read post]
7 Dec 2021, 9:05 pm
Banking industry deregulation through the 1994 Riegle-Neal Interstate Banking and Branching Efficiency Act led to a similar result, as “too big to fail” nationwide banks replaced smaller financial institutions, along with their local economic benefits. [read post]
15 Mar 2017, 11:48 am
Reduced transaction costs: The financial sector believes that blockchain can bring down settlement, regulatory and cross-border transaction costs. [read post]
19 May 2015, 1:19 pm
These duties stem from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), as well as both state and federal laws. [read post]
11 Nov 2011, 9:58 am
Our clients are now seeking damages through arbitration before the Financial Industry Regulatory Authority (FINRA). [read post]
21 Jul 2024, 8:23 pm
Liddle, a former registered investment adviser and control person of Prosper Wealth Management in Wausau, was barred by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), and the Wisconsin Department of Financial Institutions Division of Securities. [read post]
27 Apr 2021, 9:45 am
The Financial Industry Regulatory Authority (FINRA) issued a statement, in which the organization characterized Mr. [read post]
27 Apr 2021, 9:45 am
The Financial Industry Regulatory Authority (FINRA) issued a statement, in which the organization characterized Mr. [read post]
18 Nov 2014, 8:46 am
Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play type rules for its broker-dealer members that closely track the pay-to-play provisions set forth by the Securities and Exchange Commission (SEC) in Rule 206(4)-5. [read post]
16 Feb 2012, 6:44 am
One of the biggest TIC sponsors, DBSI Inc., declared bankruptcy in 2008, and broker-dealers that sold those deals have faced dozens of arbitration complaints filed with Financial Industry Regulatory Authority Inc. [read post]
11 Apr 2022, 8:36 am
It provides a platform for discussion between the authorities and businesses about, among other issues, the regulatory treatment of innovative products, services and business models. [read post]
10 Jan 2014, 12:19 pm
Concerns about privacy practices in the data broker industry, and the privacy implications about the lack of transparency “behind-the-scenes,” will remain a topic of intense regulatory and legislative focus in 2014. [read post]
26 Aug 2013, 10:10 pm
For example, while regulatory discussions have long occurred in the financial services industry, questions remain as to how the APA should be applied to these “informal” dialogues. [read post]
17 May 2017, 6:42 am
According to The Financial Industry Regulatory Authority’s (FINRA) brokercheck records Donnelly has been subject to two customer complaints, two regulatory events, and two terminations for cause. [read post]
27 May 2016, 5:00 am
While the financial services world is regulated by both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) they have specific regulations requiring companies they regulate to have anti-money laundering (AML) compliance programs, the FCPA does not have any such requirements, either written directly into the statute or by interpretation therefrom. [read post]
