Search for: "Financial Industry Regulatory Authority"
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17 May 2023, 12:30 pm
Parker was permitted to resign from her firm and consented to a permanent bar from the Financial Industry Regulatory Authority (FINRA). [read post]
10 Oct 2012, 11:43 am
” Under the guidance, common ownership or decision making authority would be considered. [read post]
11 Jul 2012, 7:56 am
This suicide attempt caused the NFA, which is the industries self-regulatory organization, to initiate a deeper probe into the company, which led to the discovery of allegedly falsified bank statements since February 2010. [read post]
23 Dec 2014, 5:05 am
Thus, “regardless of financial support, if a firm has any . [read post]
15 Jun 2009, 4:24 pm
In addition to the dramatic evolution of the futures industry, we have experienced the worst financial crisis in 80 years. [read post]
27 Aug 2020, 8:07 am
Legal and Regulatory Developments SPOTLIGHT: TD Bank to Pay $122 Million to Settle Overdraft Claims Brought by Consumer Financial Protection BureauUSA Today – August 21, 2020 TD Bank has agreed to pay $122 million in a settlement with Consumer Financial Protection Bureau over charges that it issued illegal overdraft fees. [read post]
1 May 2020, 7:00 am
” In no way can that standard be squared with the authority granted the Fed by Congress to supervise, regulate, suspend operations of, put into and out of receivership banks of all varieties, bank holding companies, and, in a key enlargement of authority prescribed in 2010 by the Dodd-Frank Act, of “systemically important” non-bank financial institutions like securities firms and insurance companies. [read post]
10 Apr 2024, 9:05 pm
first appeared on The Regulatory Review. [read post]
3 Jun 2011, 6:33 pm
Nobel prize-winning economist George Stigler warned long ago about “regulatory capture” — the tendency for regulated firms to get protection from their regulators — and the authors provide considerable evidence of it in this book. [read post]
19 Jan 2010, 8:06 pm
The same is true for the Financial Industry Regulatory Authority (FINRA), despite spending millions of dollars to advertise themselves. [read post]
23 Nov 2017, 7:15 am
A number of Member States are leading the way, having established formal public-private partnerships or industry associations for cybersecurity. [read post]
20 Sep 2016, 7:42 am
NACHA is the industry association that provides industry rules and guidance for ACH transactions. [read post]
14 Oct 2023, 6:32 am
Congress did so even though the Financial Industry Regulatory Authority (FINRA) already had been making some disclosures with regard to short sale transactions. [read post]
6 Jul 2010, 10:46 am
" In December 2009, the Financial Industry Regulatory Authority issued a notice to member firms reminding the firms of their sales practice obligations in marketing and selling PPNs to investors. [read post]
14 Oct 2023, 6:32 am
Congress did so even though the Financial Industry Regulatory Authority (FINRA) already had been making some disclosures with regard to short sale transactions. [read post]
22 Oct 2010, 5:17 pm
Some of the proposed reforms could be adopted by the SEC under its existing authorities, while others would require legislation. [read post]
11 Apr 2016, 9:30 pm
The next steps for improving higher education reform, it seems, will not involve imposing a single regulatory approach on the entire industry. [read post]
26 Mar 2008, 4:36 am
Dan Waters, Director of Retail Policy and Themes at the FSA, said: "Our discussion paper offers some potential regulatory solutions, but the door also remains open for an industry-led response". [read post]
5 Nov 2018, 7:42 am
His scheme reportedly fell apart when one of his clients contacted the Financial Industry Regulatory Authority (FINRA) and Simanski admitted his wrong doing to his employer. [read post]
22 Aug 2019, 12:07 pm
The complaint alleged that Dotson violated Financial Industry Regulatory Authority (FINRA) Rules 8210 and 2010 when he refused to appear for on-the-record testimony in a FINRA investigation and consequently was barred from associating with any FINRA member at any time. [read post]
