Search for: "Financial Industry Regulatory Authority"
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16 Nov 2022, 8:55 pm
At Shepherd Smith Edwards and Kantas (investorlawyers.com), our skilled investor loss attorneys are representing many of these investors in Financial Industry Regulatory Authority (FINRA) arbitrations. [read post]
16 Dec 2021, 9:39 am
Our non-traded REIT investment lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are speaking to NorthStar REIT investors to determine whether they have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim against their broker and/or broker-dealer. [read post]
5 Sep 2024, 7:00 pm
In 2011, the Financial Industry Regulatory Authority (FINRA) issued an investor alert cautioning against the risks of this type of real estate investment, which can include illiquidity, restricted early redemptions, and high fees. [read post]
22 Feb 2022, 5:01 am
With congressional action to grant new regulatory authorities highly improbable, it is remarkable how many other agencies also have existing authority that could be leveraged to improve the cybersecurity of private actors under their jurisdiction. [read post]
26 Dec 2019, 9:02 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
30 Nov 2009, 9:24 am
The claim, filed with the Financial Industry Regulatory Authority (FINRA), is the second filed in two months against UBS. [read post]
16 Apr 2020, 4:55 am
As we continue through 2020, we have put together this update and checklist to help managers stay on top of the business and regulatory landscape in consideration of the global pandemic affecting nearly every aspect of the industry and our lives. [read post]
5 May 2022, 8:37 am
The goal will be to expose students to emerging opportunities, power emerging industries, and help ensure economic benefits are experienced equitably. [read post]
11 Jul 2019, 2:23 pm
This spring, the same court applied the same test to find liability on a regulatory authority. [read post]
26 Mar 2018, 10:18 am
He was then barred from the industry by the Financial Industry Regulatory Authority (FINRA) the following month. [read post]
24 May 2010, 2:14 am
Instead, the new agency would monitor the industry in order to identify systemic risks; oversee TRIA; and coordinate international insurance regulatory efforts, among other things. [read post]
14 Dec 2009, 9:34 am
(GovTrack; OpenCongress; LA Times.)These two proposed Ombuds programs would be similar to the robust Office of the Ombudsman for the Financial Industry Regulatory Authority (formerly the National Association of Securities Dealers). [read post]
3 Sep 2024, 3:04 am
The SFC will work with the HKMA to provide regulatory guidance and address industry’s concerns that arise from these use cases. [read post]
29 Jul 2020, 11:43 am
Scott represents clients throughout the U.S. and elsewhere in the world in litigation and in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the American Arbitration Association (AAA). [read post]
24 Jan 2012, 7:20 am
SIFMA/ISDA position limits suit dismissed by appeals courtAn appeals court in Washington D.C. has thrown out a lawsuit brought by the Securities Industry and Financial Markets Association and the International Swaps and Derivatives Association challenging the CFTC’s new position limits regulation. [read post]
14 Jun 2023, 11:28 am
This is commonly referred to as the “offshore” finance industry, a network of firms and providers that enable financial crime, corruption, and tax evasion on a global scale. [read post]
22 Nov 2016, 7:06 am
Hedge funds are important participants in the financial markets, the working group noted, but no single regulator has the authority or the information to identify the risks that their use of leverage could pose. [read post]
1 Sep 2016, 9:30 pm
” Writing for the American Action Forum, an organization for which he serves as Director of Regulatory Policy, Sam Batkins analyzed the rulemaking history of the Consumer Financial Protection Bureau (CFPB). [read post]
14 Jul 2016, 9:30 pm
In an effort to reduce the regulatory burden on the maritime shipping industry, the U.S. [read post]
24 Mar 2016, 11:48 pm
A new report from the RAND Corporation analyzed the regulatory challenges associated with “self-driving” vehicles. [read post]
