Search for: "Financial Industry Regulatory Authority"
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31 Jan 2024, 11:31 am
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
30 Jul 2013, 10:40 am
Research that suggests an industry’s product causes harm may hurt the industry’s financial interests directly by inhibiting sales, or indirectly by undermining the industry’s position in litigation, or by leading to greater regulatory scrutiny and control. [read post]
4 Apr 2011, 10:37 am
The SFC plans to consult the market on the regulatory regime by the third quarter of 2011.Hong Kong regulatory authorities want to implement a trade repository and central counterparty regime for OTC derivatives in line with G-20 principles and harmonized with the Dodd-Frank Act derivatives regulatory provisions and the derivatives legislation that emerges from the European Union. [read post]
21 Feb 2020, 1:21 pm
The founders form GLS’ investment committee and have full investment authority. [read post]
2 Nov 2018, 7:47 am
One way would be for regulators, self-regulatory organizations, and private industry to develop a closed environment or “test track” for simulation, stress testing, and training new technologies. [read post]
12 Jul 2017, 5:58 am
Nonetheless, the authorized physician may not financially participate or receive any compensation, in relation to his/her recommendations, from any license holder or person with an economic interest in the cannabis industry. [read post]
16 Jun 2008, 2:52 pm
In emerging markets in Asia, the ICFR intends to participate in this evolving landscape to satisfy the highly diversified demands of regulatory authorities on best international practices.There is obvious growing need for consistent international standards both in developed and developing markets, and a well respected body which examines these issues in detail is required to keep the accounting industry in line. [read post]
20 Sep 2019, 11:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Konecny concern allegations of unsuitable investments. [read post]
26 Aug 2020, 4:00 am
Jody Ethan Thompson of Seaford, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he allegedly exercised discretionary trading and made unsuitable recommendations in violation of NASD Rule 2510 and FINRA Rules 2111 and 2010. [read post]
19 Jun 2023, 10:30 pm
It explores blockchain and possible regulatory responses to the technology. [read post]
12 May 2010, 6:35 am
The Wall Street Journal is reporting that two financial advisers have been ordered to pay nearly $1.9 million to the advisers' former employer, Chicago-based Mesirow Financial Holdings, Inc., and two of its divisions that alleged breach of contract and theft of trade secrets.The award by an arbitration panel of the Financial Industry Regulatory Authority included a rare dissent by the three-person panel's chairman. [read post]
12 Dec 2021, 6:47 am
The authors argue in the abstract as follows:Abstract: Recent legislative efforts to address modern slavery emphasise corporate disclosure as the primary regulatory tool. [read post]
25 Nov 2013, 7:46 pm
This position has already been applauded by the NASAA, which in a statement supporting the recommendation said that: "A fiduciary standard for broker-dealers will guarantee that all financial professionals providing investment advice will act in the best interests of their clients, and in turn, enhance investor confidence in the financial services industry and securities markets." [read post]
15 Dec 2018, 10:49 am
Since virtually all brokerage firms now compel investors to sign binding arbitration agreements as part of their account opening documents, when a dispute arises between an investor and his or her brokerage/broker, it will almost inevitably find its way into the arbitration forum administered by the Financial Industry Regulatory Authority (FINRA). “In 2016, more than $14 million in arbitration awards against brokers went unpaid to investors.” … [read post]
30 Oct 2023, 4:39 pm
Does it necessarily include mechanisms of regulatory oversight such as those applied to public companies and certain industries such as banking and certain functions such as privacy? [read post]
13 Mar 2024, 9:05 pm
Hammer and Hemenway Falk argue that a nongovernmental agency, similar to the Financial Industry Regulatory Authority, could require licensing for digital asset development as well. [read post]
25 Apr 2012, 10:52 pm
Bauchus-McCarthy Bill to Authorize IA SRO House Financial Services Committee Chairman Spencer Bachus (R-LA) and Rep. [read post]
30 Nov 2020, 12:22 pm
According to his BrokerCheck record, the Financial Industry Regulatory Authority (FINRA) reportedly barred Matthes after he failed to provide requested information after allegations in March 2019. [read post]
18 Aug 2016, 8:18 am
If you invested with Michael Oppenheim and would like to speak to a securities attorney about your potential to recover losses through Financial Industry Regulatory Authority (FINRA) arbitration, please call the firm’s Chicago office at 312-238-9650. [read post]
27 Sep 2019, 12:55 pm
“The financial services regulatory landscape needs to evolve and adapt as innovation in banking, insurance and regulatory technology continues to grow,” Lacewell said in the press release. [read post]
