Search for: "Financial Industry Regulatory Authority"
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10 Mar 2017, 11:42 am
Develop controls designed to monitor activity of authorized users and to detect unauthorized access to nonpublic information. [read post]
10 Mar 2017, 11:05 am
The Financial Industry Regulatory Authority (FINRA) has filed with the SEC a proposal to streamline the competency exam requirement so that individuals may more easily enter and re-enter the securities industry. [read post]
10 Mar 2017, 8:48 am
., offered an amendment that would direct the Financial Industry Regulatory Authority (FINRA) to create a fund that would cover unpaid arbitration awards. [read post]
10 Mar 2017, 7:28 am
These transactions took place from February 2013 to January 2015, while Schklar was associated with BB&T Securities in Richmond, VA, according to the Financial Industry Regulatory Authority Inc. [read post]
10 Mar 2017, 6:31 am
My 1991 Electronic Contracting, Publishing and EDI Law, co-authored with Michael Baum, focused on direct mainframe connections for electronic commerce between businesses, but barely mentioned the Internet. [read post]
9 Mar 2017, 7:25 am
What is The Financial Industry Regulatory Authority (FINRA)? [read post]
8 Mar 2017, 4:01 pm
Comptroller Curry said that the OCC definitely has authority to grant special purpose charters without new legislation. [read post]
8 Mar 2017, 6:30 am
Most CFP professionals fall under the jurisdiction of the Financial Industry Regulatory Authority (FINRA) and/or the U.S. [read post]
7 Mar 2017, 6:53 pm
Legislative findings and authority. [read post]
7 Mar 2017, 6:53 pm
Legislative findings and authority. [read post]
7 Mar 2017, 5:53 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, William L. [read post]
7 Mar 2017, 5:21 am
Case In Point: Echeverria AWC 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, Luis Echeverria submitted a Letter of Acceptance, Waiver and Consent ("... [read post]
5 Mar 2017, 4:00 am
(“Pershing”) sued to enjoin the (“Bevis Investors”), a group of investors who allegedly sustained losses as a result of the Stanford Ponzi scheme, from arbitrating their claims against Pershing before the Financial Industry Regulatory Authority (“FINRA”). [read post]
1 Mar 2017, 12:55 pm
About The Author Recognized by LexisNexis® Martindale-Hubbell® as a “AV-Preeminent” (Top 1%/ the highest) and “Top Rated Lawyer,” with special recognition as “LEGAL LEADER™ Texas Top Rated Lawyer” in Health Care Law and Labor and Employment Law; as among the “Best Lawyers In Dallas” for her work in the fields of “Labor & Employment,” “Tax: Erisa & Employee Benefits,” “Health… [read post]
27 Feb 2017, 1:59 pm
The ESAs comment that it is unfortunate that the financial industry has not prepared for the implementation. [read post]
27 Feb 2017, 1:44 pm
The Update, however, is less prescriptive than the “Report on Digital Investment Advice” issued by the Financial Industry Regulatory Authority (“FINRA“) in March 2016 (the “FINRA Report“). [read post]
27 Feb 2017, 10:26 am
The IBA, an independent agency with certain oversight authority over the NYSDOL, held that the proposed regulations exceeded the NYSDOL’s regulatory powers. [read post]
27 Feb 2017, 7:40 am
According to The Financial Industry Regulatory Authority, financial advisor Austin W. [read post]
26 Feb 2017, 9:31 pm
The second RegNet contribution to Achieving Regulatory Excellence, which I authored, focuses on responsive excellence. [read post]
23 Feb 2017, 8:17 am
In addition to restitution, the Financial Industry Regulatory Authority Inc. fined Purshe Kaplan Sterling Investments for its failures to supervise the sales of these securities. [read post]
