Search for: "Financial Industry Regulatory Authority"
Results 6281 - 6300
of 11,235
Sorted by Relevance
|
Sort by Date
17 Nov 2023, 8:15 am
On this point Verena Ross states that the example of the MFSA’s risk-based licensing framework for virtual financial asset service providers may serve as one model to look at as Member State competent authorities design their own authorisation procedures for crypto asset service providers. [read post]
14 Jun 2010, 10:00 am
They have since filed an arbitration claim against Merrill Lynch with the Financial Industry Regulatory Authority (FINRA). [read post]
8 Sep 2022, 12:36 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mann’s customer complaints alleges that Mann recommended unsuitable investments in various investments including allegations involving debt-corporate securities, mutual funds, real estate securities and common and preferred stock, among other allegations of misconduct relating to the handling of their accounts. [read post]
2 Jun 2015, 8:07 am
A second exception is healthcare industry. [read post]
8 Apr 2011, 10:00 pm
Also, federal deposit insurance changes will lower costs by $16.3 billion and lower TARP authority by $11 billion. [read post]
7 May 2010, 11:37 pm
However, Securities Fraud Lawyer William Shepherd considers Shapiro’s statement “strange,” especially as it was “made by someone who, prior to taking over at the SEC, was in charge of the National Association of Securities Dealers, Inc (now called the Financial Industry Regulatory Authority). [read post]
29 Jun 2020, 9:21 am
How should the licensed firm and firm with the conditional license divide responsibilities and obligations for ensuring compliance with legal and regulatory requirements? [read post]
6 Jul 2022, 8:44 am
Silver Law may initiate arbitration claims against the brokers, as well as begin proceedings against the broker-dealers with the Financial Industry Regulatory Authority (FINRA), the government-authorized not-for-profit organization that oversees U.S. broker-dealers. [read post]
14 Jun 2019, 12:08 pm
In 2015, he settled a civil case brought by the Financial Industry Regulatory Authority (FINRA) accusing him of exercising discretion in a customer’s accounts even though he did not have their permission to make such trades. [read post]
26 Jun 2009, 7:01 am
That bill has been referred to the House Committee on Financial Services. [read post]
19 Aug 2014, 3:20 pm
Broker dealers that overlook the Financial Industry Regulatory Authority’s suitability requirements or mislead investors regarding risks can be liable for investment losses through FINRA arbitration. [read post]
9 Nov 2010, 11:52 am
The Financial Industry Regulatory Authority, the largest nongovernmental regulator for securities firms doing business in the United States, recently met with individual financial services companies and the Alzheimer’s Association to formulate guidelines on how to deal with clients who have trouble remembering and reasoning, a problem that is not new but is increasing as the population ages. [read post]
15 Nov 2021, 6:23 am
The Court explained that “the Mandate imposes a financial burden upon [employers] by deputizing their participation in OSHA’s regulatory scheme, exposes them to severe financial risk if they refuse or fail to comply, and threatens to decimate their workforces (and business prospects) by forcing unwilling employees to take their shots, take their tests, or hit the road. [read post]
15 Nov 2021, 6:23 am
The Court explained that “the Mandate imposes a financial burden upon [employers] by deputizing their participation in OSHA’s regulatory scheme, exposes them to severe financial risk if they refuse or fail to comply, and threatens to decimate their workforces (and business prospects) by forcing unwilling employees to take their shots, take their tests, or hit the road. [read post]
2 Apr 2024, 1:27 pm
Colombia does not have laws regulating cryptocurrencies; however, its financial authorities have issued warnings about the risks associated with crypto trading, and the country seeks to create a supportive regulatory framework for cryptocurrencies. [read post]
29 Sep 2016, 9:30 pm
The proposal has faced opposition from the cable industry, and leading up to Thursday, when the proposal was expected to come to a vote, Commissioner Jessica Rosenworcel reportedly expressed concerns over whether the FCC had the authority to implement part of the plan and possible copyright violations. [read post]
23 Sep 2024, 9:05 pm
Pushback from industryFoodDrinkEurope was one of several respondents who raised concerns about financial feasibility, data protection, technical accessibility, regulatory burden, and international competitiveness. [read post]
16 Mar 2011, 8:31 am
Financial Industry Regulatory Authority (FINRA) warned in a a statement that con-artists have been pitching fake investments in Facebook and other "well-known social media companies. [read post]
30 Jan 2013, 7:23 am
Making sure nontraded REITS are sold to appropriate clients and ensuring that clients are not provided misleading information regarding them have been concerns of the Financial Industry Regulatory Authority. [read post]
30 Nov 2017, 12:43 pm
Wall Street industry group SFIG joins the fray in U.S. [read post]
