Search for: "Financial Industry Regulatory Authority"
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26 Sep 2007, 12:36 am
MiFID replaces the Investment Services Directive (ISD), and all organisations covered by ISD will be affected, including investment banks, market data companies, trading platforms and exchanges.The Financial Services Authority (FSA), which is responsible for the regulation of the securities industry in the United Kingdom, will incorporate MiFID into its FSA Handbook. [read post]
2 Aug 2022, 9:12 am
Diversity and inclusion: While there are a number of positive industry initiatives underway, progress to increase diversity of representation remains relatively slow across the financial sector. [read post]
26 Sep 2019, 9:10 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Rovner concern allegations of unauthorized trading, unsuitable investments, and misrepresentations among other claims. [read post]
10 Nov 2013, 11:45 am
The current U.K. asset management regulatory regime is neither sufficiently transparent nor accountable, noted Martin Wheatley, Chief Executive of the Financial Conduct Authority. [read post]
21 May 2010, 7:25 pm
Section 1057 creates a robust private right of action for employees in the financial services industry who suffer retaliation for disclosing information about fraudulent or unlawful conduct related to the offering or provision of a consumer financial product or service. [read post]
7 Oct 2019, 6:04 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Crosson’s customer complaints alleges that Crosson recommended unsuitable investments in a stock called Castle Brands (Ticker Symbol: ROX) among other allegations of misconduct relating to the handling of their accounts. [read post]
24 Jun 2018, 9:30 pm
They were funded by organizations having a strong financial or institutional stake in the outcome of their studies. [read post]
4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
12 Jul 2019, 2:05 pm
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the Alberta Securities Commission, the Cyprus Securities and Exchange Commission, the Financial Conduct Authority of the United Kingdom, the Monetary Authority of Singapore, the Ontario Securities Commission, the Securities and Commodities Authority of the United Arab Emirates, the Securities and Futures Commission of Hong Kong, and the… [read post]
5 Nov 2020, 6:28 am
One observer has said that there are already 20 such suits, covering defendants in a variety of industries. [read post]
28 Mar 2018, 12:28 pm
However, the CFTC will not be the only organization regulating the industry of cryptocurrencies. [read post]
19 Mar 2012, 5:42 am
In the case of Morgan Stanley, a review by the Financial Industry Regulatory Authority (FINRA) into sales of the firm's structured products - which included principal-protected investments, leveraged exposure, yield enhancement, and access investments - revealed that in many instances the true risks of the structured products were never disclosed to clients. [read post]
3 Jan 2011, 5:00 am
The New York State Insurance Department recently released its proposed regulatory agenda for the first half of 2011. [read post]
20 Jun 2012, 9:22 am
Jacqui heads up the Financial Services Advisory Group which sits within the Financial Industry Group. [read post]
15 Dec 2022, 8:00 am
California Minimum Net Worth Requirement and Financial Reports. [read post]
15 Dec 2022, 4:00 am
California Minimum Net Worth Requirement and Financial Reports. [read post]
16 Feb 2012, 12:58 pm
Bill Huizenga (R-MI), the author of the legislation, noted that the Dodd-Frank Act specifically failed to safeguard the proprietary information that HR 4014 protects. [read post]
8 Jan 2009, 1:24 pm
The letters F-I-N-R-A stand for the Financial Industry Regulatory Authority. [read post]
24 Aug 2016, 11:41 am
BrokerCheck is a free tool from FINRA (Financial Industry Regulatory Authority) that helps investors’ research brokers, investment advisors, and their firms. [read post]
24 Aug 2016, 11:41 am
BrokerCheck is a free tool from FINRA (Financial Industry Regulatory Authority) that helps investors’ research brokers, investment advisors, and their firms. [read post]
