Search for: "Financial Industry Regulatory Authority"
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30 May 2014, 5:54 am
Similarly, firms and households can buy financial services anywhere in the world, skirting the efforts of regulators in Canada to control risk. [read post]
29 Aug 2024, 6:10 am
Earlier this month, the Solicitors Regulation Authority (SRA) updated its warning notice on the appropriate use of non-disclosure agreements (NDA), creating increased regulatory obligations for lawyers advising on, drafting and negotiating settlement agreements. [read post]
25 Oct 2023, 7:36 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
4 Jan 2021, 7:30 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
5 Sep 2024, 8:54 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
25 Jun 2013, 10:02 pm
Decreased FSIS inspections will disrupt industry production. [read post]
28 Dec 2021, 9:02 pm
Because of FDA’s regulatory limitations, scholars argue that stronger regulatory oversight over the cosmetics industry is needed. [read post]
24 Dec 2020, 7:21 am
The real reason that merchants face routing impediments is that the global brands have used their market share power to thwart industry and regulatory desires to maintain a robust, competitive, compliant and fair payments system. [read post]
27 Jun 2012, 3:25 pm
Part of Dodd-Frank created the Consumer Financial Protection Bureau or CFPB, which is tasked with trying to bring some sanity to the financial industry. [read post]
1 Feb 2023, 7:37 am
In addition, the Financial Conduct Authority (FCA) and Bank of England have issued a number of discussion papers, consultation papers, policy statements and regulatory guidance notes on cryptoassets, including the FCA’s consultation paper on financial promotions for cryptoassets (published in January 2022). [read post]
16 Nov 2015, 6:17 am
There is, however, an argument to challenge the alleged mandatory JAMS and AAA arbitration provision contained in the Credit Suisse Employment Disputes Resolution Program, as brokers who are registered with FINRA are required to arbitrate disputes, claims or controversies with a member firm at the Financial Industry Regulatory Authority, Inc. [read post]
20 Oct 2014, 8:17 am
In recent months, the SEC has actively engaged with the industry through speeches, guidance updates, and examinations to counsel advisers on their newfound obligations and to gain a better understanding of the industry. [read post]
17 Jun 2009, 9:16 am
On top of that, the Obama administration is finalizing their proposed plan for changing the regulatory framework of the financial industry. [read post]
26 Sep 2017, 1:11 pm
Attorney’s Office for the Northern District of Illinois, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
28 Sep 2017, 1:27 pm
The SEC appreciates the assistance of the Financial Industry Regulatory Authority and the Office of Montana State Auditor, Commissioner of Securities and Insurance. [read post]
22 Oct 2018, 7:01 am
No stranger to the CFTC or the derivatives industry. [read post]
15 Apr 2024, 10:00 pm
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
27 Nov 2011, 6:58 am
In September, the Financial Industry Regulatory Authority (FINRA) imposed a $10,000 fine and a six-month suspension against Brian Boppre, former president of Capital Financial Services. [read post]
19 Jul 2011, 1:23 am
Despite the decline, the financial services industry still remains the “leading sector” for attracting corporate and securities litigation activity. [read post]
