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1 Jul 2024, 3:19 pm by Kevin LaCroix
  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]
13 Jul 2017, 6:52 am by Renae Lloyd
The award notice was published by the Financial Industry Regulatory Authority’s Office of Dispute Resolution. [read post]
3 Nov 2023, 6:00 am by Michelle
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]
21 Oct 2020, 6:27 am by Joe Wojciechowski
 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]
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 by Peter Conti-Brown
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 by Renae Lloyd
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 by Renae Lloyd
  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 by Barbara S. Mishkin
  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]
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 by Hedge Fund Lawyer
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]
18 Mar 2015, 2:44 am by musicandcopyright
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 by Adam Weinstein
 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 by John Jascob
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 by Unknown
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 by Matthew Benedict
The emergency rules are not the final version of the regulatory rules for the recreational marijuana industry. [read post]