Search for: "Financial Industry Regulatory Authority"
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12 Oct 2011, 10:37 am
The Financial Industry Regulatory Authority (FINRA) issued an investor alert on non-traded REITs in September in which it outlined potential risks of the products. [read post]
5 Jun 2019, 1:43 pm
According to the Financial Industry Regulatory Authority (FINRA), Tudor is reportedly barred from association with any FINRA member in all capacities. [read post]
6 Feb 2020, 8:52 am
According to public records on the Financial Industry Regulatory Authority’s website, the regulator has reportedly barred Puente on January 29, 2020 after he purportedly refused to provide information for FINRA’s investigation into his alleged undisclosed outside business activities and/or private securities transactions while associated with a member firm. [read post]
29 Jun 2023, 11:38 am
’s Financial Conduct Authority (“FCA”) will introduce new rules later this year for those marketing cryptoassets to U.K. consumers. [read post]
28 Apr 2022, 9:59 am
The firm’s decades of experience representing financial institutions provide us with the industry insight and broad capabilities to help fintech companies innovate and thrive. [read post]
17 Apr 2019, 9:49 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator is investigating Schwartz for allegedly churning and excessively trading the accounts of customers of his member firm. [read post]
19 Apr 2019, 9:49 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator is investigating Schwartz for allegedly churning and excessively trading the accounts of customers of his member firm. [read post]
1 Sep 2022, 9:05 pm
But U.S. authorities are far from being alone in usubg blacklisting as a regulatory tool. [read post]
28 Jul 2016, 9:30 pm
Further, Shapiro argued that the speakers failed to account for external causes of downturns in certain industries, specifically citing the role low oil prices have played in the coal industry’s struggles. [read post]
30 Oct 2009, 11:35 am
In March, the Financial Industry Regulatory Authority reviewed broker-dealers' sales and promotion of non-traded REITs, and asked firms for a variety of information, including descriptions of sales contests and cash and non-cash incentives. [read post]
2 Jul 2013, 2:58 pm
The Financial Industry Regulatory Authority (FINRA) allege that during the fifteen month period that the customer maintained the IRA account with Mediate, the customer incurred a net out of pocket loss of approximately $55,000. [read post]
16 Sep 2008, 1:40 pm
We know this, because his Blueprint on financial regulatory reform would specify the availability of the discount window further. [read post]
1 Jan 2024, 6:19 am
Despite the strict stance on digital asset transactions, the industry is also showing signs of maturation. [read post]
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]
8 Oct 2024, 12:00 am
Financial Services Regulation Trackers provides up to date information on legislation and key administrative proceedings from federal, state and local banking authorities. [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 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]
2 Oct 2024, 7:23 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
