Search for: "Financial Industry Regulatory Authority"
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1 Sep 2016, 6:45 am
It's about a 71-year-old financial principal of a broker-dealer and his settlement of regulatory charges with the Financial Industry Regulatory Authority. [read post]
1 Sep 2016, 5:41 am
Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2014 and as amended thereafter, Claimant Charles Schwab & Co., Inc. asserted breach of contra... [read post]
1 Sep 2016, 5:39 am
In a recent Financial Industry Regulatory Authority arbitration, a husband on his way to seeking a divorce asked if he could get an expert witness in his case against his wife. [read post]
1 Sep 2016, 5:32 am
If you listen carefully, in the background, you can hear Destiny's Child singing.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, El... [read post]
31 Aug 2016, 9:30 pm
Despite the differing opinions on Kashkari’s call for immediate bold action, all agree that the number of agencies overseeing the U.S. financial industry can slow the regulatory process – as it has with the implementation of Dodd-Frank. [read post]
30 Aug 2016, 3:38 pm
The Roundtable is not affiliated with any EB-5 industry organization, regional center, offeror of EB-5 securities or job-creating recipient of EB-5 funds, and it receives no outside financial contributions. [read post]
30 Aug 2016, 3:38 pm
The Roundtable is not affiliated with any EB-5 industry organization, regional center, offeror of EB-5 securities or job-creating recipient of EB-5 funds, and it receives no outside financial contributions. [read post]
30 Aug 2016, 3:38 pm
The Roundtable is not affiliated with any EB-5 industry organization, regional center, offeror of EB-5 securities or job-creating recipient of EB-5 funds, and it receives no outside financial contributions. [read post]
29 Aug 2016, 1:33 pm
Ariola was last employed and registered with Financial Telesis, Inc., an Aliso Viejo broker-dealer, from November 2012 to September 2014, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Aug 2016, 1:33 pm
Ariola was last employed and registered with Financial Telesis, Inc., an Aliso Viejo broker-dealer, from November 2012 to September 2014, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Aug 2016, 4:00 am
DOL states that it "has taken an approach to defining 'recommendation' that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, [which is] subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
29 Aug 2016, 12:53 am
Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.Candidates for Finra board want greater focus on regulatory pain of small firms: [read post]
26 Aug 2016, 2:22 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
26 Aug 2016, 2:22 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
26 Aug 2016, 11:12 am
Financial regulations issued and enforced by the Financial Industry Regulatory Authority (FINRA) affect the public by setting the level of investor protection available. [read post]
25 Aug 2016, 9:30 pm
Judge Skavdahl had held that the Bureau of Land Management (BLM) lacked authority to promulgate the requirements, but the former DOI officials argued that “the BLM has for decades” regulated “oil and gas drilling activities,” and that the “rules are simply the latest manifestation of this well-established authority. [read post]
25 Aug 2016, 7:40 am
Lower the standard for disclosure of CSI from “having jurisdiction over [the] supervised financial institution” to disclosure if it is “relevant to the exercise of the Agency’s statutory or regulatory authority. [read post]
24 Aug 2016, 11:41 am
BrokerCheck is a free tool from FINRA (Financial Industry Regulatory Authority) that helps investors’ research brokers, investment advisors, and their firms. [read post]
24 Aug 2016, 11:41 am
BrokerCheck is a free tool from FINRA (Financial Industry Regulatory Authority) that helps investors’ research brokers, investment advisors, and their firms. [read post]
24 Aug 2016, 8:17 am
Like I said, you may have needed to go to law school to fully appreciate the nuances of this mess but I'm guessing that lots of folks will still appreciate the ramifications of this somewhat historic ruling.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration St... [read post]
