Search for: "Financial Industry Regulatory Authority"
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6 Jan 2017, 5:50 am
Securities and Exchange Commission, a choice which Trump said will advance “the financial security of the American people,” but which was reportedly criticized by progressive groups because of Clayton’s ties to the financial industry. [read post]
5 Jan 2017, 11:53 am
State AGs and financial regulators are widely expected to ramp up their enforcement of federal and state consumer financial protection laws in response to anticipated changes to the CFPB and other federal regulatory agencies in a Trump administration. [read post]
5 Jan 2017, 10:14 am
The point of concern, however, is not with the 99% who are likely guilty but with the 1% who are not.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 finding... [read post]
5 Jan 2017, 7:21 am
Nelson, J.D. discusses the impact of the election on the Dodd-Frank Act and federal regulation of the financial services industry. [read post]
4 Jan 2017, 3:55 pm
Financial Reports. [read post]
4 Jan 2017, 1:06 pm
We also expect significant regulatory developments, including with respect to the OCC’s proposal for special purpose FinTech charter, which has the potential to facilitate regulatory compliance for start-ups launching innovative financial products and services. [read post]
4 Jan 2017, 8:46 am
Fortunately for the existence of the social media industry, Section 230 prevents that outcome. [read post]
3 Jan 2017, 4:28 pm
But while the litigation funding industry may attract controversy, it is clearly growing and is having an increas [read post]
3 Jan 2017, 6:31 am
Three federal courts of appeal have now narrowly construed the exemption in a manner contrary to the reading given it by regulatory agencies. [read post]
2 Jan 2017, 2:52 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2015, Claimant Potts, appearing pro se, asserted that he had been wrongfully terminated and sought $600,000 for four-years of allegedly lost income; $250,000 for the alleged hardship he suffered since his 2012 termination, and $300,000 in punitive damages. [read post]
30 Dec 2016, 2:09 am
When it comes to arbitrating a dispute at the Financial Industry Regulatory Authority, said time and tide have a shelf life of six years. [read post]
29 Dec 2016, 9:30 pm
Every Friday, RegBlog publishes a roundup of the week’s top regulatory news. [read post]
29 Dec 2016, 2:18 pm
The fitness center alleged that FRS intentionally misused customers’ private financial information, which interfered with FRS’s business dealings. [read post]
28 Dec 2016, 3:26 am
Kurtas left the SEC in 2015 to join the Financial Industry Regulatory Authority, an industry-funded monitor of U.S. brokerages, as the inspector general’s probe was still under way. [read post]
27 Dec 2016, 7:00 am
The author would like to thank Hugo Margoc, Articling Student, for his assistance in preparing this legal update. [read post]
23 Dec 2016, 12:00 pm
The bank has been accused of reporting vague and incorrect information about employees to the Financial Industry Regulatory Authority in retaliation for blowing the whistle on the unauthorized accounts. [read post]
22 Dec 2016, 12:20 pm
For obvious reasons, the financial services industry stands out as one that regulatory agencies such as the CFPB, Department of Justice, Federal Trade Commission, and various other federal and state banking and finance authorities believe must be particularly prepared to defend against—and, if necessary, respond to—data breaches. [read post]
22 Dec 2016, 12:20 pm
For obvious reasons, the financial services industry stands out as one that regulatory agencies such as the CFPB, Department of Justice, Federal Trade Commission, and various other federal and state banking and finance authorities believe must be particularly prepared to defend against—and, if necessary, respond to—data breaches. [read post]
22 Dec 2016, 7:11 am
Nelson, J.D. discusses the impact of the election on the Dodd-Frank Act, federal securities regulation, and on related financial services industry issues. [read post]
22 Dec 2016, 2:50 am
This is an update of "FINRA Wins Scottsdale Capital Advisors Motion to Dismiss" (BrokeAndBroker.com Blog, May 9, 2016)Wall Street is regulated by the federal Securities and Exchange Commission ("SEC"), by state securities divisions, and by the self-regulatory organization ("SRO") the Financial Industry Regulatory Authority ("FINRA"). [read post]
