Search for: "Financial Industry Regulatory Authority"
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26 Feb 2021, 6:39 am
This requires not only a certain level of authority and independence, but also deep financial crime subject matter expertise combined with a working knowledge of regulatory expectations, investigative rigour and internal stakeholder management. [read post]
9 Oct 2023, 11:00 pm
Bank Regulatory Counsel Resource Kit and Financial Services Regulations Fundamentals Resource Kit provide guidance related to fair credit reporting act compliance and include practice notes, checklists, articles, and templates to aid practitioners in advising financial institutions in this area. [read post]
27 Jan 2016, 1:32 pm
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5 (Release No. 34-75988; File No. [read post]
26 Feb 2016, 6:00 am
Last Thursday, the Financial Industry Regulatory Authority (FINRA) sent letters to a dozen financial firms, inquiring about the methods by which the firms establish and maintain a culture of compliance. [read post]
9 Jan 2013, 11:00 pm
Traditional regulatory oversight may have been just what the housing finance industry needed in the lead-up to the financial crisis in 2008. [read post]
6 Sep 2022, 12:21 pm
The bill would authorize the Office of the Comptroller of the Currency to charter and regulate national banks whose sole purpose is to issue stablecoins. [read post]
8 May 2023, 6:57 am
Merrill Lynch, who self-reported the issue, reportedly signed separate consent orders with the Financial Industry Regulatory Authority (FINRA) and the New Hampshire Bureau of Securities Regulation. [read post]
20 Jun 2014, 6:00 am
” In reality, Valente twice filed for bankruptcy and started ELIV Group after the Financial Industry Regulatory Authority (FINRA) permanently expelled him from the broker-dealer industry in 2009 for engaging in misconduct against numerous customers. [read post]
13 Aug 2024, 10:00 am
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
16 Aug 2019, 9:46 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Konecny on March 16, 2018 from working in the securities industry after he reportedly failed “to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. [read post]
15 Aug 2019, 7:16 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Konecny on March 16, 2018 from working in the securities industry after he reportedly failed “to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. [read post]
25 Jun 2012, 3:50 pm
One of those partners is the head of the Financial Services Regulatory Group in the UK & EME, Jacqui Hatfield, who co-authored the client alert. [read post]
28 Sep 2018, 5:07 pm
FINRA Targets Alleged Cryptocurrency Securities Fraud Recently, the Financial Industry Regulatory Authority (FINRA) announced that it is pursuing its first-ever complaint against an entity suspected of unlawfully selling cryptocurrency securities. [read post]
18 Aug 2014, 2:06 pm
According to Cleveland.com, one of the principals of Cedar Brook Financial Partners, a wealth management firm in Ohio, was suspended and fined by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Aug 2014, 2:00 pm
According to Cleveland.com, one of the principals of Cedar Brook Financial Partners, a wealth management firm in Ohio, was suspended and fined by the Financial Industry Regulatory Authority (FINRA). [read post]
8 Nov 2022, 8:25 pm
The same can be said for the outcomes of civil cases filed by the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), or a state securities regulator against a broker-dealer. [read post]
26 May 2020, 2:58 pm
As discussed in a May 11, 2020 Financial Times article (here), Chinese authorities have themselves also increased their scrutiny of publicly traded Chinese companies. [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]
8 Oct 2020, 6:06 pm
Select Committee on Financial Technology and Regulatory Technology publishes Interim Report The Senate’s Select Committee on Financial Technology (FinTech) and Regulatory Technology (RegTech) published its Interim Report in September 2020, with its overall findings premised on five key categories including tax, regulation, capital and funding, skills and talent, as well as culture. [read post]
22 Apr 2021, 2:26 am
The Commission might aim to harness the EU Taxonomy to prompt industry players to innovate and develop better solutions for the storage and disposal of nuclear waste. [read post]
