Search for: "Financial Industry Regulatory Authority"
Results 6321 - 6340
of 11,236
Sorted by Relevance
|
Sort by Date
18 Mar 2015, 2:44 am
According to the report, independent music venues in the UK are operating under significant pressures, both financially and regulatory. [read post]
18 Mar 2014, 11:21 am
Consequently, Berthel Fisher was fined by the Financial Industry Regulatory Authority (FINRA) for failure to supervise in an adequate manner the sale of non-traded real estate investment trusts, as well as leveraged and inverse exchange-traded funds. [read post]
11 Jun 2017, 4:58 am
According to records kept by the Financial Industry Regulatory Authority (FINRA) Elliott working out of Overland Park, Kansas location from November 2011 through September 2016. [read post]
15 May 2020, 6:20 am
Nelson, J.D.The Financial Industry Regulatory Authority, Inc. obtained SEC no-action relief so that the broker-dealer self-regulatory organization can issue temporary guidance and other relief to its members who have been affected by the COVID-19 pandemic. [read post]
30 May 2023, 6:30 am
He emphasized a regulatory gap needs to be closed involving the liquidity of these investments. [read post]
5 Dec 2022, 12:15 am
Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority, Inc. [read post]
5 Aug 2019, 8:23 am
The emergency rules are not the final version of the regulatory rules for the recreational marijuana industry. [read post]
5 Aug 2019, 8:23 am
The emergency rules are not the final version of the regulatory rules for the recreational marijuana industry. [read post]
6 Dec 2023, 11:53 am
For whistleblowers in the financial sector, the prescribed body to report to is the Financial Conduct Authority (FCA). [read post]
24 Sep 2024, 9:01 pm
The SEC oversees the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), and the Securities Investor Protection Corporation (SIPC). [read post]
31 Dec 2021, 9:50 am
Author: Aaron Gott A couple years ago, clamor for antitrust scrutiny of the agricultural industry was growing apace. [read post]
28 Dec 2020, 9:03 pm
The Regulatory Review is pleased to highlight the top essays from 2020 authored by our staff. [read post]
15 Dec 2011, 6:05 am
That could only occur when the regulated entity is in control of the regulator.We don't need FINRA expanding its power and authority over yet another facet of the financial industry, increasing its ability to quash competition. [read post]
16 Jul 2023, 9:05 pm
Boies noted that the 1978 Act transferred regulatory authority over consumer protection from the CAB to the U.S. [read post]
26 Feb 2021, 9:25 am
Parsons, who played for the Atlanta Hawks before a car accident in January 2020, reportedly filed the claim in arbitration with the Financial Industry Regulatory Authority (FINRA) in January 2021, according to the regulator. [read post]
28 Jul 2018, 1:00 am
The next question has to do with, what is their regulatory presence in the financial world? [read post]
21 Feb 2012, 9:20 am
Many investors have gone on to file complaints with the Financial Industry Regulatory Authority (FINRA). [read post]
10 Apr 2017, 12:01 pm
The plan must address a number of aspects of incident response, including, for example, roles, responsibilities and decision-making authority and processes for documenting and reporting Cybersecurity Events. [read post]
22 Apr 2010, 7:20 am
In late March, the Financial Industry Regulatory Authority (FINRA) closed the doors on GunnAllen because the company had fallen below minimum capital rules set by federal regulators. [read post]
26 Oct 2017, 11:10 am
Note: This post was originally published in the October 2017 issue of the National Defense Industrial Association’s National Defense magazine. [read post]
