Search for: "SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION"
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6 May 2010, 12:35 pm
SEC Chairman Mary Schapiro, Keynote Address at the Compliance and Legal Society of the Securities Industry and Financial Markets Association 2010 Annual Seminar, Harbor Place, Maryland, May 6, 2010 [read post]
14 Jun 2010, 1:02 pm
The Securities Industry and Financial Markets Association (SIFMA) today released the results of a study intended to assist regulators and policymakers in preparing for expanded systemic risk oversight and enhance their ability to respond to potential future systemic risk events.... [read post]
13 Feb 2012, 10:30 am
Speaking on behalf of the members of the global alternative investment community at the 10th Annual Financial Services Conference in Brussels, Managed Funds Association Chair William Goodell discussed the industry's views on a number of relevant public policy initiatives and participated in a panel discussion with Verena Ross, Executive Director of the newly formed European Securities and Markets Authority, and Markus Ferber, a Member of the European… [read post]
10 Apr 2012, 11:33 am
The hedge fund, securities and banking industries, along with other financial trade associations, filed an amicus brief in the US Supreme Court arguing that the federal bankruptcy code does not allow a debtor to bar secured lenders from credit bidding to protect themselves against the potential undervaluation of their collateral in bankruptcy. [read post]
23 Mar 2018, 6:06 am
The Financial Industry Regulatory Authority appeared first on White Securities Law. [read post]
10 Apr 2023, 8:26 am
LPL Advisor William Winchester Allegedly Borrowed Money from 3 Customers According to a Letter of Acceptance Waiver and Consent(AWC) on April 6, the Financial Industry Regulatory Authority (FINRA), the self-regulator who oversees brokers and brokerage firms, has reportedly barred William Winchester III (CRD #4404327) from the securities industry. [read post]
4 Oct 2011, 8:22 am
On September 27, 2011, the Financial Industry Regulatory Authority (andquot;FINRAandquot;) obtained by Acceptance Waiver andamp; Consent (andquot;AWCandquot;), a permanent bar against former Wachovia Securities, L.L.C. and Wells Fargo Securities, L.L.C. stockbroker, Tom D. [read post]
12 Feb 2021, 11:00 am
Silverstein has 16 years of experience in the securities industry and has been associated with eight different broker-dealers. [read post]
12 Jan 2012, 1:09 pm
The hedge fund and securities industries are concerned that the proposed definition of eligible contract participant under the Dodd-Frank Act will cause substantial disruptions to financial markets. [read post]
15 Feb 2021, 2:03 pm
Scott Silver, managing partner of Silver Law Group, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and has extensive experience representing investors in securities and investment fraud cases. [read post]
29 Jul 2011, 5:10 pm
., the Securities Industry and Financial Markets Association and the Securities and Exchange Commission have submitted separate amicus curiae briefs to the U.S. [read post]
19 May 2008, 12:50 pm
The Securities Industry and Financial Markets Association, SIFMA, offers a 2-hour CLE Legal Ethics Workshop on Tues., June 3, 2008, in New York City. [read post]
17 Mar 2020, 1:27 pm
Securities regulators and industry associations are racing to issue guidance, relief, and information to assist the industry. [read post]
2 Dec 2011, 11:53 am
The Securities Industry and Financial Markets Association and the International Swaps and Derivatives Association contend that the Commodity Futures Trading Commission failed to evaluate the economic impact of its position limits rule. [read post]
24 Jun 2016, 1:55 pm
DiVenuto was employed and registered with Concept Capital Markets, LLC, a New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
5 Oct 2018, 8:51 am
The post Suhail Khan Barred from Securities Industry appeared first on White Securities Law. [read post]
26 Jun 2018, 10:49 am
The International Swaps and Derivatives Association (“ISDA“), the Association of Financial Markets in Europe (“AFME“), International Capital Market Association (“ICMA“) and the Securities Industry and Financial Markets Association (“SIFMA“) and its asset management group (SIFMA AMG) have published a new report that assesses the issues involved with… [read post]
31 Jul 2018, 11:02 am
She was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity for 20 days and was fined $5,000. [read post]
18 Jan 2018, 7:01 am
SEC Staff Letter: Engaging on Fund Innovation and Cryptocurrency-related Holdingshttps://www.sec.gov/divisions/investment/noaction/2018/cryptocurrency-011818.htm In a published letter dated January 18, 2018, SEC Staff writes to the Investment Company Institute and the Securities Industry and Financial Markets Association. [read post]
18 Apr 2014, 6:04 am
This post is based on Chair White’s remarks to the Securities Industry and Financial Markets Association (SIFMA) 2014 Compliance & Legal Society Annual Seminar; the full text, including footnotes, is available here. [read post]
