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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]
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]
