Search for: "Financial Industry Regulatory Authority"
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28 Sep 2021, 7:32 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
30 Aug 2017, 2:48 pm
"Agency officials have been and will remain in close communication with market participants and key market infrastructure providers, as well as the Financial Industry Regulatory Authority and other regulators concerning the storm and its aftermath. [read post]
20 Mar 2013, 11:45 am
Regulators, including the Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA) are reviewing trading of high-frequency firms to determine if they are engaging in prohibited transactions, such as "wash" trades. [read post]
29 Sep 2016, 12:59 pm
Attorney’s Office for the District of Massachusetts, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority. [read post]
20 Dec 2017, 9:52 am
In the letter, Mr Barclay summarised the proposed approach as follows: in financial services, a significant amount of the regulatory framework is within EU law. [read post]
2 Aug 2010, 12:41 pm
And yet despite what one must assume were legally valid outright rejections of the remaining 85% of all FOIA requests, the SEC garnered a provision in the new financial regulation overhaul law that empowers them to reject any request implicating documents it has received from members of the financial industry pursuant to SEC surveillance and risk assessments “or other regulatory oversight activities. [read post]
22 Oct 2009, 6:01 am
We embark upon this reform effort as the financial industry has become ever more concentrated. [read post]
22 Aug 2024, 9:07 am
Industries like retail and financial services are subject to a wide range of regulatory oversight spanning consumer protection, labor laws, environmental policy, and more. [read post]
11 Oct 2022, 6:37 am
The chamber’s comment letter emphasized that the CFTC does not have explicit statutory authority to pursue many of the policies suggested by the CFTC’s RFI and further urged the agency to tread lightly if it does move ahead with regulatory or policy initiatives on climate-related disclosures.Statutory authorities, Administration policy. [read post]
28 Aug 2014, 11:31 am
[This story previously appeared in Securities Regulation Daily.]By Amanda Maine, J.D.The SEC announced that the Financial Industry Regulatory Authority (FINRA) and the national securities exchanges have filed a proposal to implement a pilot program that will widen the minimum quoting and trading increments (tick sizes) for smaller companies. [read post]
4 Mar 2013, 9:35 am
Financial Industry Regulatory Authority (FINRA) Rules require that under certain circumstances, recommendations must also be suitable when made to institutional customers. [read post]
22 Sep 2017, 7:49 am
Investors are reminded to keep on the lookout for schemes that seek to attract people who are eager to invest with companies that genuinely provide assistance to those in need,” said Stephanie Avakian, Co-Director of the SEC’s Division of Enforcement.Under the federal securities laws, the SEC can suspend trading in a stock for 10 days and generally prohibit a broker-dealer from soliciting investors to buy or sell the stock again until certain reporting requirements are met.The SEC… [read post]
28 Dec 2015, 2:01 pm
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
19 Jun 2012, 2:05 pm
The new Financial Industry Regulatory Authority ("FINRA") Rule 2090 "Know Your Customer" and Rule 2111 "Suitability" will become effective on July 9, 2012. [read post]
10 Jan 2015, 6:00 am
In December, the Financial Industry Regulatory Authority entered into settlement agreements with a number of the major banking firms in response to allegations that their equity research analysts were involved in impermissibly soliciting investment banking business by offering their views during the pitch for the Toys “R” Us IPO (which was never actually completed). [read post]
17 Jun 2013, 7:30 am
The SEC and the Financial Industry Regulatory Authority (FINRA) issued a warning to investors about a sharp increase in e-mail linked to "pump-and-dump" stock schemes.The investor alert entitled Inbox Alert - Don't Trade on Pump-And-Dump Stock E-mails notes that the latest McAfee Threats Report confirms a steep rise in spam e-mail linked to bogus "pump-and-dump" stock schemes designed to trick unsuspecting investors. [read post]
31 Aug 2012, 12:43 pm
In 2011, the Financial Industry Regulatory Authority (FINRA) Office of Dispute Resolution designated Montpelier, Vermont as a hearing situs for FINRA arbitration claims filed by Vermont residents, thereby obviating the necessity that Vermont residents have their claims heard in otherwise prior hearing locates such as Albany, New York, Boston, Massachusetts, and Hartford, Connecticut. [read post]
12 Sep 2014, 4:40 am
Set for on Monday, September 30, 2014, the 13th annual event is open to those who are working as Ombuds in the Federal sector and others interested in the role.Speakers will be internal and external ombuds from the National Institutes of Health, Small Business Administration, Financial Industry Regulatory Authority, Federal Emergency Management Agency, Department of Energy, and American Red Cross. [read post]
24 Jun 2013, 5:54 am
Financial Industry Regulatory Authority (FINRA) posted to its website a targeted examination letter that it has sent to members requesting information on the use of social media. [read post]
12 Nov 2012, 12:29 pm
If an organisation is non-compliant, the PDPC may impose a maximum financial penalty of S$1 million (USD $819,000). [read post]
