Search for: "Financial Industry Regulatory Authority"
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1 Oct 2021, 5:30 am
He also vocally advocated for creatively using FTC authority to fill a perceived gap caused by the Supreme Court’s decision in AMG Capital Management that the FTC lacked authority under Section 13(b) to obtain equitable monetary relief. [read post]
2 Dec 2019, 11:29 am
GPB Capital has been accused of operating as a Ponzi scheme in numerous class action lawsuits and is currently under investigation by the FBI, Securities & Exchange Commission and the Financial Industry Regulatory Authority. [read post]
8 Feb 2010, 6:41 am
The last fifteen years saw a net deregulation, as financial products evolved much faster than regulatory thinking about them. [read post]
6 Aug 2012, 3:32 pm
But Form BD is a relatively minor step in the process of registering a broker-dealer, because broker-dealers are also required to become a member of the Financial Industry Regulatory Authority (“FINRA”). [read post]
16 Aug 2017, 7:05 am
”) The Fed states that the proposal was “informed by a multi-year review by the Federal Reserve of practices of boards of directors, particularly at the largest banking organizations,” but it also seems consistent with the Administration’s desire to bring about regulatory reform and reduce regulatory burden on the financial industry. [read post]
16 Aug 2017, 7:05 am
”) The Fed states that the proposal was “informed by a multi-year review by the Federal Reserve of practices of boards of directors, particularly at the largest banking organizations,” but it also seems consistent with the Administration’s desire to bring about regulatory reform and reduce regulatory burden on the financial industry. [read post]
30 Oct 2012, 5:03 pm
Yet, the rules of the Financial Industry Regulatory Authority (FINRA) do not allow appeals of arbitrators decisions. [read post]
3 May 2021, 2:25 pm
FINRA And Arizona Corporation Commission Investigate Scott Reed After learning of allegations concerning Reed following his termination from Wells Fargo, the Financial Industry Regulatory Authority (FINRA) began an investigation into Reed’s conduct. [read post]
13 Sep 2021, 6:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Lackwood’s customer complaint alleges that Lackwood recommended unsuitable investments in various investments including allegations involving risky and speculative securities, among other allegations of misconduct relating to the handling of their accounts. [read post]
25 Apr 2017, 8:17 pm
The two Presidential Memoranda pertain to the 2010 Dodd-Frank regulatory reform legislation. [read post]
20 Apr 2017, 9:30 pm
Wells Fargo was fined $185 million in September after an investigation by the OCC and other authorities. [read post]
14 Apr 2023, 9:24 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
25 Dec 2023, 9:05 pm
The Regulatory Review is pleased to highlight the top essays from 2023 authored by our staff. [read post]
11 Jul 2019, 9:51 pm
Current relief available to FFSPs ASIC previously offered two types of relief from holding an Australian financial services licence (AFSL) to FFSPs who provide financial services to wholesale clients in Australia: ‘sufficient equivalence relief’, provided under various class orders for certain FFSPs regulated by an overseas regulatory regime deemed sufficiently equivalent to Australia’s regulatory regime (Sufficient Equivalence Relief),… [read post]
24 May 2024, 3:43 am
There is a further lack of any suggestion of major structural reform to financial services regulation, such as that seen following the 1997 election with the introduction of the Financial Services Authority. [read post]
6 Jun 2016, 1:03 pm
In February, the Financial Industry Regulatory Authority said it was investigating firms’ compliance culture. [read post]
6 Apr 2022, 7:13 am
Update The U.S. government has issued new sanctions and broadened existing authorities, relating to: Trade sanctions: Prohibitions on the importation of crude oil, petroleum, coal, liquefied natural gas and related products, seafood, alcoholic beverages, and non-industrial diamonds are in place; Financial sanctions: Restrictions on investments in Russia have been expanded to include any sector of the Russian economy. [read post]
7 Nov 2019, 6:51 pm
ASIC calls time on disclosure reliance On 14 October 2019, ASIC released joint Report 632 with the Dutch Authority for Financial Markets (AFM) assessing the effectiveness of disclosure for financial products on consumer outcomes. [read post]
26 Mar 2009, 7:55 am
FINRA Proposes Amendments to Form U4, U5 and FINRA Rule 8312The Financial Industry Regulatory Authority ("FINRA") proposed rule changes to Form U4 , Uniform Application for Securities Industry Registration or Transfer, Form U5, Uniform Termination Notice for Securities Industry Registration, and FINRA Rule 8312 ("Broker-Dealer Disclosure).The proposed rule changes address regulatory concerns, ease, clarify or facilitate… [read post]
4 Oct 2023, 12:46 pm
The Mortgage Bankers Association and other financial industry trade groups submitted amicus briefs arguing that, however SCOTUS resolves the Constitutional funding question, it should decline to invalidate CFPB historic rules, regulations and acts, because doing so would upset settled industry expectations. [read post]
