Search for: "Financial Industry Regulatory Authority"
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8 Sep 2023, 12:51 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
8 Sep 2023, 9:44 am
FINRA is the primary regulatory authority overseeing the securities industry in the United States. [read post]
8 Sep 2023, 7:53 am
This demonstrates to the insurance company that the claimant is serious and committed to pursuing their claim.In certain instances, filing a complaint with the appropriate regulatory authority may be necessary to address and resolve the issue of claim processing delays. [read post]
8 Sep 2023, 7:53 am
This demonstrates to the insurance company that the claimant is serious and committed to pursuing their claim.In certain instances, filing a complaint with the appropriate regulatory authority may be necessary to address and resolve the issue of claim processing delays. [read post]
7 Sep 2023, 9:03 pm
Securities and Exchange Commission (SEC) issued an order directing equity exchanges and the Financial Industry Regulatory Authority to develop a new plan for producing data used in equity investing. [read post]
7 Sep 2023, 10:25 am
FINRA Arbitration and Mediation The Financial Industry Regulatory Authority, known as FINRA, is the self-regulatory body responsible for overseeing financial advisors and broker dealers. [read post]
7 Sep 2023, 5:55 am
By Suzanne CosgroveThe SEC has again directed the U.S. equity exchanges and the Financial Industry Regulatory Authority (FINRA) to file a plan for a national market system to replace the three existing national market system plans that govern the public dissemination of real-time, consolidated equity market data for national market system stocks.Advances in technology and changes in the equity markets have heightened inherent conflicts of interest between the… [read post]
7 Sep 2023, 3:20 am
Under the guidance of regulatory authorities, Sara Lee issued a voluntary recall of 35 million pounds of ready-to-eat meat products. [read post]
7 Sep 2023, 1:03 am
Boiler Room Cold Calling in 2023 According to The Financial Industry Regulatory Authority (FINRA)’s National Cause and Financial Crimes program, boiler room operations continue as a method to promote fraudulent investment schemes. [read post]
6 Sep 2023, 9:20 pm
Due Diligence Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment, prior to making recommendations to an individual investor. [read post]
6 Sep 2023, 9:05 pm
To illustrate this point, Allen points to the 2008 financial crisis, which Allen contends resulted in large part from regulatory failure to act. [read post]
6 Sep 2023, 9:01 pm
Moreover, the SROs, in their regulatory function, are users of the CAT, so they, like the Commission, have less interest in constraining the CAT’s power as a regulatory tool. [read post]
5 Sep 2023, 2:43 pm
Financial Industry Regulatory Authority: Plaintiff Susan Seltzer participated in an arbitration proceeding before the Financial Industry Regulatory Authority (FINRA). [read post]
4 Sep 2023, 5:44 am
However, while the aggressive regulatory action may have helped the banking industry to dodge a contagion event, it did not necessarily remedy the underlying concerns for many banks. [read post]
1 Sep 2023, 8:11 am
The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to file a new national market system plan (NMS plan) to replace the three existing…Read the Full Press Release Have a securities law question? [read post]
30 Aug 2023, 9:05 pm
As we have previously noted, regardless of industry, size or performance, no company is too large, too popular, too new or too successful to consider itself immune from activism. [read post]
30 Aug 2023, 1:56 pm
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
29 Aug 2023, 12:32 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
29 Aug 2023, 5:55 am
According to the Center for Strategic and International Studies (CSIS), protests began to intensify in the aftermath of the 2008 global financial crisis. [read post]
29 Aug 2023, 3:00 am
Read now » Related Content Consumer Financial Protection Bureau Regulatory Enforcement Tracker (Cybersecurity and Privacy) Bookmark this federal agency enforcement decision tracker highlighting key recent guidance and enforcement actions undertaken by the Consumer Financial Protection Bureau (CFPB) regarding compliance with CFPB privacy and cybersecurity regulations. [read post]
