Search for: "Financial Industry Regulatory Authority"
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22 May 2012, 9:38 am
Leiman-Carbia, who participated in a panel discussion on Monday in Washington as part of the annual meeting of the Financial Industry Regulatory Authority (FINRA), added that he wonders if brokers truly understand all of the products that they sell to clients. [read post]
22 Aug 2011, 5:15 am
In 2009, the Financial Industry Regulatory Authority (FINRA) issued a notice to broker/dealers of non-traded REITs prohibiting them from using data that was more than 18 months old to estimate the value of the products. [read post]
26 Apr 2011, 5:34 am
In recent months, sales of private placements have been under the microscope by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jul 2012, 7:39 am
The Financial Industry Regulatory Authority (FINRA) recently issued an Investor Alert on ETNs. [read post]
9 Aug 2013, 9:39 am
The Investment Advisers Act of 1940 regulates specified financial professions, including financial planners, money managers, and investment consultants. [read post]
10 Mar 2023, 8:17 am
As Gensler was again making the case that virtually all cryptocurrencies except bitcoin are securities over which his SEC has authority, Sens. [read post]
9 Sep 2019, 6:36 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaint against McLaughlin alleges breach of fiduciary duty. [read post]
9 Feb 2023, 11:27 am
” The Financial Industry Regulatory Authority (FINRA), overseen by the SEC, provides regulatory services to the financial industry by licensing and regulating broker-dealers. [read post]
29 Sep 2017, 11:37 am
The Securities and Exchange Commission today charged a former broker, his company, and his business partner in an alleged real estate investment scheme utilizing high-pressure sales tactics to pilfer $6 million from retirees and other investors while using the proceeds to fund the broker’s lavish lifestyle and start e-cigarette businesses.The SEC alleges that Leonard Vincent Lombardo, who once worked at Stratton Oakmont and has long since been barred from the brokerage industry by the… [read post]
17 Oct 2011, 11:33 am
Massive lawsuits and regulatory actions ensued, with reverberations being felt again today from one of the insurance industry’s most costly and notorious failures. [read post]
5 Mar 2019, 12:00 pm
Investors can quickly and easily research a prospective financial advisor by using a free tool provided by the Financial Industry Regulatory Authority, FINRA BrokerCheck. [read post]
26 Jun 2020, 9:11 am
The Commission further alleged that the Financial Industry Regulatory Authority, Inc. [read post]
28 Nov 2016, 9:30 pm
The report’s authors also recommend repealing authority for financial holding companies to participate in merchant banking activities like buying a stake of ownership in a company instead of providing a traditional loan. [read post]
11 Oct 2018, 4:35 pm
Global innovation foundation Nesta is trying to promote this type of regulation in the UK, but more importantly, this model has been successfully applied in the financial sector with the establishment of ‘regulatory sandboxes’ by the UK’s Financial Conduct Authority in 2016. [read post]
17 Jan 2011, 4:53 pm
With the advent of 2011, a new EU regulatory framework for securities and banking has been born, including a European Systemic Risk Board similar to the Financial Stability Oversight Council created by the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
28 Sep 2014, 5:43 am
” However, First Allied has had its share of regulatory violations in the past. [read post]
17 Apr 2023, 7:03 am
(CRD#:15007), MELVILLE, NY, B, 11/21/2017 – 03/28/2018, MAXIM GROUP LLC (CRD#:120708), NEW YORK, NY B, 08/04/2016 – 11/22/2017, STOCKKINGS CAPITAL LLC (CRD#:164445), NEW YORK, NY FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
17 Feb 2011, 8:48 am
To what extent is this a function of a fragmented regulatory framework suffering from bureaucratic inertia (and an industry suffering from regulatory fatigue)? [read post]
27 Mar 2011, 4:02 pm
The Financial Industry Regulatory Authority ("FINRA") determined that Schwab misrepresented the YieldPlus fund as a low risk alternative to money market funds despite the disproportionate impact the upheaval in the mortgage-backed securities market had on the YieldPlus portfolio. [read post]
14 Feb 2010, 10:36 am
In June, the Financial Industry Regulatory Authority (FINRA) issued a statement on leveraged and inverse ETFs, reminding broker/dealers that the products “typically were unsuitable for retail investors” who hold them longer than a single day. [read post]
