Search for: "Financial Industry Regulatory Authority"
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23 Mar 2017, 1:59 pm
These usually were meant to protect sensitive industries, but could also be used to protect national development schemes. [read post]
23 Mar 2017, 12:55 pm
The review also will include IPI’s compliance with Financial Industry Regulatory Authority Inc. rules on networking arrangements, non-cash compensation, and gifts and gratuities. [read post]
23 Mar 2017, 11:24 am
The claim was filed in 2014 in the Financial Industry Regulatory Authority Inc. [read post]
23 Mar 2017, 6:30 am
Porter has a passion for directing the growth strategy of rapidly growing businesses in the healthcare and financial services industries. [read post]
23 Mar 2017, 4:55 am
As in fully, finally, and forever.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in May 2016, and as amended thereafter, public customer Claimant Hedberg, representing herself pro se, alleged negligence, churning, ... [read post]
21 Mar 2017, 2:42 am
Thankfully, both Wells Fargo and the Financial Industry Regulatory Authority were there to protect us. [read post]
21 Mar 2017, 2:41 am
Thankfully, both Wells Fargo and the Financial Industry Regulatory Authority were there to protect us. [read post]
20 Mar 2017, 5:59 am
Few issues appear more frequently on the regulatory docket of the Financial Industry Regulatory Authority than allegations about a registered representative's failure to timely disclose tax liens. [read post]
20 Mar 2017, 5:00 am
In its 2015 Report on Cyber Security Practices, the Financial Industry Regulatory Authority (FINRA) identified a wide range of actors that may attempt to compromise a broker dealers’ electronic records and functions: (1) cybercriminals seeking to steal; (2) nation states; (3) terrorist groups;… More [read post]
20 Mar 2017, 3:28 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2015, former Lightspeed Trading, LLC customer, Claimant Ehrenspeck asserted unsuitable securities transactions; breaches of contract and fiduciary duty; fraud; churning; failure to supervise and to comply with internal procedures. and negligence in connection with unspecified securities. [read post]
17 Mar 2017, 6:56 am
Aegis Capital Corp., a mid-sized broker-dealer based in New York City with 415 registered reps, is being investigated by three regulatory agencies, including the SEC, The Financial Industry Regulatory Authority Inc., the Securities and Exchange Commission and the Treasury Department’s Financial Crimes Enforcement Network, (FINCEN). [read post]
16 Mar 2017, 12:48 pm
We noted that this part of Havana had not yet lost its aspects as a port and allowed us to see a little closer the old industrial infrastructure of Havana. [read post]
15 Mar 2017, 11:48 am
Reduced transaction costs: The financial sector believes that blockchain can bring down settlement, regulatory and cross-border transaction costs. [read post]
15 Mar 2017, 6:23 am
In February 2017, the Financial Industry Regulatory Authority Inc. [read post]
14 Mar 2017, 6:37 am
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, Mark Schklar submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA ac... [read post]
13 Mar 2017, 4:46 pm
Nearly 14% of all authorized federal judicial positions are vacant. [read post]
13 Mar 2017, 5:00 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2016 and amended thereafter, Claimant Marchel asserted violations of the Family and Medical Leave Act of 1992 (“FMLA”), wrongful termination, and breach of contract in connection with her purported wrongful termination by Respondent Invesco after she requested FMLA leave. [read post]
12 Mar 2017, 9:28 am
In Europe, interchangeability and/or substitution is a matter for national authorities in each member State. [read post]
10 Mar 2017, 2:36 pm
In the fashion industry, blockchain is being used as an anti-counterfeiting and anti-diversion tool. [read post]
10 Mar 2017, 1:06 pm
Thanks as well to Scott Gartner, the Director, Penn State School of International Affairs, and special thanks to Claudia Prieto (SIA Academic Adviser and Student Services Coordinator) and Rachel Arnold (Assistant to the Financial Officer, Penn State Law/SIA), without whose help and encouragement this program would not have happened. [read post]
