Search for: "Financial Industry Regulatory Authority"
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13 May 2015, 6:41 am
More often, the FA is pursued by a financial industry regulator – usually the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA), but in some cases it could be a state regulator. [read post]
28 Dec 2020, 8:11 am
It is important to note that similar statutory and regulatory requirements exist at the state level and at the federal level outside of the financial services industry. [read post]
17 Dec 2017, 3:28 pm
Presumably to take advantage of the usury-friendly regulatory climate there. [read post]
22 Jan 2013, 4:35 am
It also gives Treasury broad authority to establish verification and due-diligence procedures with respect to a foreign financial institution’s identification of any U.S. accounts.Chapter 4 also provides for withholding taxes as a means to enforce new reporting requirements on specified foreign accounts owned by specified U.S.persons or by U.S. [read post]
5 Nov 2020, 7:35 am
Biden would focus on consumer protection and increasing regulatory oversight, while President Trump would continue to dismantle financial regulation. [read post]
2 Apr 2021, 8:14 am
The Financial Industry Regulatory Authority (FINRA) is a government authorized non-profit designed to protect investors by overseeing and regulating U.S. broker-dealers. [read post]
3 May 2016, 9:16 am
Oppenheimer tops the list at 19.6 percent.■ Five of the 10 counties with the highest percentage of brokers with disclosures are in Florida.These complaints are recorded in a database kept by securities industry watchdog, FINRA (the Financial Industry Regulatory Authority). [read post]
13 Jul 2017, 6:52 am
The award notice was published by the Financial Industry Regulatory Authority’s Office of Dispute Resolution. [read post]
3 Nov 2023, 6:00 am
Legal and Regulatory Developments SPOTLIGHT: BNPL, EWA Bills Surface at House HearingPayments Dive – October 26, 2023 A House Financial Services subcommittee has drafted legislative proposals related to earned wage access and the buy now, pay later market. [read post]
1 Jul 2024, 3:19 pm
When litigation involves allegations of financial fraud or fraud on the market, the need for counsel with capital market and regulatory expertise is tantamount. [read post]
23 Jun 2023, 3:11 am
UK Finance reported that in the payment industry, £1.2 billion was stolen through fraud in 2022. [read post]
21 Oct 2020, 6:27 am
According to the article, Baily submitted to what is called an “Acceptance, Waiver, and Consent” with the Financial Industry Regulatory Authority as a result of these ill-fated solicitations. [read post]
17 Nov 2022, 12:31 pm
On Nov. 9, 2022, the New York State Department of Financial Services (NYDFS) published a proposed second amendment to its cybersecurity regulation. [read post]
20 Apr 2016, 9:30 pm
The financial crisis and the subsequent legislative and regulatory response changed this basic design with the advent of the epistemologically scrambling “stress tests,” a broad family of activities that apply to the largest financial institutions. [read post]
11 Nov 2008, 1:13 pm
Participants in the TARP must also accept limits on executive compensation and seek permission to declare dividends.Under the EESA, the Treasury is authorized to invest in any financial institution, including insurance companies. [read post]
7 Feb 2020, 8:03 am
According to public records on the Financial Industry Regulatory Authority’s website, on January 17, 2019, Oregon Division of Financial Regulation reportedly barred Shean after allegations of “misappropriation of funds totaling $124,402.83 from an elderly client’s account; six unauthorized transactions; engaged in a manipulative, deceptive, or other fraudulent act or practice; engaged in dishonest, fraudulent or illegal practices or… [read post]
23 Jul 2019, 1:56 pm
The board reportedly sanctioned Lewis after receiving evidence that he entered into a Letter of Acceptance, Waiver, and Consent (AWC) with the Financial Industry Regulatory Authority, Inc. [read post]
16 May 2016, 8:45 am
Alan Kaplinsky, who leads Ballard Spahr’s Consumer Financial Services Group, was invited by the CFPB to attend the field hearing to present the financial services industry’s position on the proposed regulations. [read post]
4 Feb 2019, 8:59 am
The FCA states that in the areas mentioned in the Annex it expects firms to undertake reasonable steps to comply with the changes to their regulatory obligations by exit day. [read post]
9 Oct 2018, 2:33 am
FINRA MATTERS FINRA Charges Broker with Fraud and Unlawful Distribution for Token Offering On September 11, the Financial Industry Regulatory Authority (“FINRA”) charged a broker in connection with a token offering. [read post]
