Search for: "Financial Industry Regulatory Authority"
Results 6181 - 6200
of 11,234
Sorted by Relevance
|
Sort by Date
3 Mar 2013, 9:18 am
The Financial Industry Regulatory Authority's (FINRA's) enforcement department charged Schwab with violating its rules by restricting consumers' class-action and arbitration rights. [read post]
19 Mar 2013, 7:39 am
The Financial Industry Regulatory Authority, (FINRA) issued a news release on March 4, 2013 announcing that it had fined Ameriprise Financing Services, Inc. and its affiliated clearing form American Enterprise Investment Services, Inc [read post]
9 Jul 2024, 1:00 am
Develop a roadmap for regulatory reporting. [read post]
29 Aug 2016, 4:00 am
DOL states that it "has taken an approach to defining 'recommendation' that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, [which is] subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
6 May 2021, 8:50 pm
The work of authorities such as the Cross Market Operational Resilience Group, the Finance Sector Cyber Collaboration Centre and the Financial Services Information Sharing and Analysis Center have shown what can be done when the industry works together. [read post]
2 Mar 2010, 7:35 am
Last summer, both the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. issued Wells notices to Morgan Keegan, a step signaling that enforcement actions against Morgan Keegan have been recommended in connection with the bond funds. [read post]
14 Mar 2012, 7:24 am
Is the person or company a member of the Financial Industry Regulatory Authority (FINRA)? [read post]
16 Sep 2022, 6:30 am
Then in a September 2021 no-action letter to the Financial Industry Regulatory Authority (FINRA), the staff expressed the view that Rule 15c2-11, including the 2020 amendments, applies to other types of OTC securities, including fixed income securities. [read post]
1 Jul 2014, 12:13 pm
What he neglected to tell his clients and prospective clients is that not only did he fail in his own personal financial life, (he filed for bankruptcy twice), but he was also forced out of the broker-dealer industry in 2009 by the Financial Industry Regulatory Authority (FINRA). [read post]
SNSFE Continues Its Investigation Of Principal-Protected Notes Following Disclosure Of SEC Inquiries
9 Jul 2010, 10:01 am
In December, FINRA, the Financial Industry Regulatory Authority, issued a notice to firms reminding them that any "promotional materials" used to market principal-protected notes must be "fair and balanced" and not overstate the "level of protection. [read post]
5 Oct 2023, 4:00 pm
The ex-Investment Network stockbroker, who was fired by the brokerage firm in August, also was barred by the Financial Industry Regulatory Authority (FINRA) after he refused to testify in an ongoing investigation into his purported selling of these alternative investments. [read post]
14 Sep 2017, 2:04 am
However, most respondents considered that it had the potential to reach a greater number of customers, thus enhancing financial inclusion; views were divided on the need for common rules for oversight of automated decision-making; in relation to the amount of information that should be included in algorithms for investment decision, industry respondents and public authorities called for technologically neutral approaches; and the main risks stemming from the use of… [read post]
6 Nov 2023, 9:00 pm
Check out our Practical Guidance Author Center ! [read post]
4 Sep 2015, 6:35 am
According to his BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
13 Mar 2024, 8:56 am
” Earlier when the crypto industry was building up, the SEC indicated it had little statutory authority over digital assets and what authority it did have was unclear. [read post]
7 Mar 2024, 2:08 pm
To stay out of the CFPB’s crosshairs, companies should retain counsel that is experienced with online marketing and lead generation industry regulatory compliance. [read post]
2 Dec 2009, 5:42 pm
According to Treasury, the lack of a federal regulatory regime and resolution authority for large systemic non-bank financial institutions contributed to the financial crisis and, unless addressed with legislation, will constrain a federal response to future crises. [read post]
24 May 2019, 3:45 am
The fact that such industry holdings are not to be considered as obliged entities would lead to more legal certainty for clients in the non-financial sector. [read post]
27 Oct 2016, 12:22 pm
Berger was allegedly barred from the securities industry in 2015 by the Financial Industry Regulatory Authority due to allegations that he misappropriated funds from elderly customers while registered with member firms. [read post]
16 Dec 2014, 3:21 pm
RCS concedes that it is fielding regulatory inquiries after its recent disclosure of accounting errors. [read post]
