Search for: "Financial Industry Regulatory Authority"
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31 Oct 2012, 1:37 pm
For example, SEC Chairman Mary Schapiro has been pushing for the additional reforms because she believes the money market mutual fund industry continues to be a threat to the financial system. [read post]
7 Dec 2019, 5:29 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Watkins’ customer complaint alleges that Watkin recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
9 Feb 2018, 8:00 am
This year’s priorities focus on five main areas: (1) compliance of and risks associated with service providers; (2) issues directly affecting retail investors; (3) the activities and operations of the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board; (4) cybersecurity; and (5) anti-money laundering programs. [read post]
26 Oct 2023, 12:50 pm
Look for firms that are members of relevant regulatory bodies, such as the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA). [read post]
24 Jul 2018, 12:21 pm
Blockchain technology has the potential to revolutionise many industries; it has been said that “blockchain will do to the financial system what the internet did to media”. [read post]
12 Jan 2017, 9:30 pm
Despite concerns over ethics agreements and financial disclosures, confirmation hearings for President-elect Trump’s Cabinet nominees began this week. [read post]
27 Sep 2007, 11:19 pm
This settlement was announced in a press release yesterday by FINRA, the Financial Industry Regulatory Authority, which was created by combining National Association of Securities Dealers (NASD) and New York Stock Exchange Member Regulation. [read post]
16 Jul 2012, 11:49 am
Over the past 5 years, there have been four thousand to seven thousand arbitrations filed per year with the Financial Industry Regulatory Authority ("FINRA"). [read post]
16 Jul 2012, 11:49 am
Over the past 5 years, there have been four thousand to seven thousand arbitrations filed per year with the Financial Industry Regulatory Authority ("FINRA"). [read post]
4 Aug 2019, 10:59 pm
CPS 511 is intended to address recommendations 5.1 to 5.3 from the Final Report of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry. [read post]
17 May 2019, 8:02 am
The PRA also believes that financial regulation should keep pace with new developments and continually patch any weak parts of the regulatory system, but overall following 10 years of regulatory reform the new architecture should be left to do its job. [read post]
25 Mar 2008, 5:51 am
He explained that the focus of UCITS regulation is more preventive than critical; no authorization to operate would be given to an entity unless the regulatory authority is satisfied with the ``whole picture,'' meaning the entire structure of a financial organization. [read post]
8 Jun 2017, 8:29 am
ESMA acknowledges that outsourcing can pose a number of challenges for financial firms and supervisors, particularly when the outsourcing of certain functions risks introducing unacceptable operational risks to the functioning of firms and to the national competent authority’s ability to effectively supervise financial services, especially when the service provider is located outside the EU. [read post]
27 Dec 2021, 9:02 pm
The Regulatory Review is pleased to highlight the top 50 essays from 2021 authored by our staff. [read post]
1 May 2009, 5:35 am
— The Financial Industry Regulatory Authority (FINRA) has announced today that it has fined Centaurus Financial, Inc. [read post]
20 May 2012, 7:11 am
We have responsibility for reviewing the disclosures and financial statements of more than 9,100 reporting companies and also oversee approximately 450 transfer agents, 15 national securities exchanges, eight active clearing agencies, and nine nationally recognized statistical rating organizations (NRSROs), as well as the Public Company Accounting Oversight Board (PCAOB), Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking… [read post]
7 Jul 2023, 9:05 pm
State policies also contain regulatory exemptions. [read post]
20 Oct 2022, 9:47 pm
Analyzing these trends through data collection and study, the authors further argued, could be a useful tool for consumer financial regulators who supervise the market. [read post]
21 Dec 2009, 6:40 am
This includes the brokerage industry’s self-regulatory organization, the Financial Industry Regulatory Authority (FINRA). [read post]
30 May 2013, 11:00 am
Definitions: Adds definitions to DFARS 202.101 for the terms “counterfeit part,” “electronic part,” “legally authorized source,” and “suspect counterfeit part. [read post]
