Search for: "Financial Industry Regulatory Authority"
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2 Oct 2009, 5:42 am
Bluestein isn't even registered with the Financial Industry Regulatory Authority (FINRA). [read post]
8 Aug 2011, 2:03 am
” Committee members heard from state regulators, as well as various industry executives, a consumer advocate and others, regarding topics spanning from systemic risk in the insurance sector to reform in the producer licensing system.John Huff, Director of the Missouri Department of Insurance, Financial Institutions, and Professional Registration, and non-voting member of the Financial Stability Oversight Council (“FSOC”), provided a… [read post]
27 Dec 2022, 9:05 pm
The Regulatory Review is pleased to highlight the top 50 essays from 2022 authored by our staff. [read post]
9 Feb 2018, 6:10 am
While the Bell coalition wants the CRTC to believe that there is urgent problem requiring a radical regulatory solution (it acknowledges the CRTC can only authorize blocking in exceptional circumstances that further the objectives of the Telecommunications Act), Bell’s own commentary to financial analysts strike a much different tone. [read post]
17 Aug 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
30 Jul 2024, 3:47 am
On 29 July 2024, the Financial Conduct Authority (FCA) launched a call for input on its review of FCA requirements following the introduction of the Consumer Duty. [read post]
9 Feb 2022, 11:27 am
Cottone was permanently barred by the Financial Industry Regulatory Authority (FINRA) in 2018. [read post]
22 Mar 2024, 2:20 am
” Coming on the heels of the SEC proposing new rules in 2023 for investment advisers and broker-dealers using “predictive data analytics,” and the SEC’s joint alert with the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) flagging concerns about increasing investment frauds involving the use of artificial intelligence, it is clear that the SEC will be focused on artificial… [read post]
19 Jul 2022, 6:14 am
Not surprisingly, several of the authors (Kramer, Cranor, Soskolne) have worked closely in tandem with the lawsuit industry, and have derived financial rewards for their efforts. [read post]
27 Dec 2023, 11:21 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
UK Tribunal Upholds FSA Decision to Ban Hedge Fund Managers for Deceiving Investors and Market Abuse
23 Aug 2011, 4:06 pm
The Tribunal concluded that neither of them is fit to work in any capacity within the financial services industry. [read post]
19 Aug 2015, 9:56 am
The move came after Voya received guidance from the Financial Industry Regulatory Authority Inc. [read post]
18 Jun 2020, 1:49 pm
He had been in the industry since 2004. [read post]
16 May 2024, 9:43 am
FINRA Updates Guidance on Chatbot Messaging and AI Generated content The Financial Industry Regulatory Authority (FINRA) has updated its guidance this week on firms and their use of chatbot messaging and AI generated content. [read post]
17 Jun 2014, 8:32 am
The Financial Industry Regulatory Authority (FINRA) fined the mega-firm $5 million for failing to accurately supervise many of its brokers who were using the terms “indication of interest” and “conditional offer to buy” interchangeably. [read post]
29 Oct 2014, 2:26 pm
This included twice yearly webinars and yearly roundtables involving FDA, industry and academia to tackle regulatory issues on the product development pathway, and included CIRM scientific team input and participation in elucidating the topics selected for discussion; in addition, it included organizing in 2013, the first meeting of international regulatory authorities from the US, Japan, Europe, United Kingdom and Canada, and investigators from… [read post]
17 Dec 2019, 1:47 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Westenbarger’s customer complaint alleges that Kerker recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
26 Mar 2020, 8:22 am
Insurance is part of the Critical Sectors (Financial Services) described by the Order. [read post]
13 Oct 2011, 7:22 am
Though the CFTC has regulatory authority over most types of derivatives, but the SEC specifically has jurisdiction over “security-based” swaps such as credit default swaps. [read post]
23 Oct 2023, 8:36 pm
This type of broker misconduct is prohibited by the Financial Industry Regulatory Authority (FINRA) and brokerage firms have a duty to have the proper procedures, systems, and rules in place to prevent this from happening. [read post]
