Search for: "Financial Industry Regulatory Authority"
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5 Apr 2017, 1:43 pm
Stamer also is a highly popular lecturer, symposia chair and author, who publishes and speaks extensively on health and managed care industry, human resources, employment, employee benefits, compensation, and other regulatory and operational risk management. [read post]
5 Apr 2017, 1:03 pm
As a recent FINRA regulatory settlement demonstrates, there are more than a few clueless folks working on Wall Street.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Adriane L. [read post]
5 Apr 2017, 12:22 pm
Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Ryan Wallace submitted a Letter of Acceptance, Waiver and Consent ("... [read post]
5 Apr 2017, 6:33 am
Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Nationwide Investment Services Corporation (“NISC”) and Nationwide Fund Distributors, LLC (“NF... [read post]
4 Apr 2017, 7:31 am
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the ninth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field.Details are available at Indisputably - 2017 Securities Dispute Resolution Triathlon [read post]
4 Apr 2017, 7:07 am
Nothing to be learned.In a recent Financial Industry Regulatory Authority settlement, some of the ch... [read post]
3 Apr 2017, 12:36 pm
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the ninth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
31 Mar 2017, 6:34 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
31 Mar 2017, 6:33 am
Lee said the state had provided no justification for banning contributions from the medical cannabis industry while not banning donations from any other regulated industries. [read post]
30 Mar 2017, 4:55 pm
The Financial Industry Regulatory Authority published the decision on Monday. [read post]
30 Mar 2017, 1:06 pm
This week she was barred by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Mar 2017, 9:44 am
Extractive Industries Transparency Initiative (EITI)) • MNE internal norms • Social License for extractives 8. [read post]
29 Mar 2017, 5:09 am
As it turned out, the tax-motivated sale of my business was a financial mistake. [read post]
28 Mar 2017, 5:18 pm
Nine of Dean’s customers filed Financial Industry Regulatory Authority arbitrations or complaints against him. [read post]
27 Mar 2017, 12:57 pm
Ballard Spahr attorney James Kim, a former senior CFPB enforcement lawyer who now represents industry, was also a panel member. [read post]
27 Mar 2017, 12:43 pm
Nothing to be learned.In a recent Financial Industry Regulatory Authority settlement, some of the charges appear valid. [read post]
27 Mar 2017, 8:57 am
Several fintech industry groups have commented in favor of the OCC’s proposed charter. [read post]
27 Mar 2017, 7:12 am
According to reports, Kahn and Cervino were affiliated with Primary Capital in New York and were barred from the securities industry by the Financial Industry Regulatory Authority Inc. [read post]
27 Mar 2017, 4:00 am
We know from experience that done properly, this can increase regulatory efficiency and the certainty that industry desires, while ensuring principles of sustainability are upheld. [read post]
24 Mar 2017, 8:46 am
With respect to BITs and FTAs she noted the way that SWFs and SOEs are treated in similar ways (that is to the extent that there are instances where regulatory provisions could apply to both)--in both cases of course they represent projections of state financial power abroad. [read post]
