Search for: "Financial Industry Regulatory Authority"
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1 Jul 2024, 1:37 pm
Brokers, financial advisors and others in the financial industry subject to regulation by the Financial Industry Regulatory Authority (“FINRA”) to document their careful selection and management of any machine learning, deep learning, neural networks, large language model (“LLM”) and other natural language processing (“NLP”), and other generative artificial intelligence tools (“Gen AI”) in… [read post]
30 Nov 2020, 5:00 am
Broker-dealers and registered investment advisers are principally regulated by the Financial Industry Regulatory Authority (“FINRA”), the Securities and Exchange Commission (“SEC”), and the states. [read post]
15 Jun 2023, 9:05 pm
The draft proposal (a more detailed summary of which can be found here) would resolve several fundamental regulatory questions about jurisdictional authority over cryptoasset markets — dividing authority between the CFTC and the SEC based on functional standards — and facilitate, through a tailored regime, compliant capital formation and trading activity. [read post]
30 Dec 2011, 1:06 pm
In 2010 and 2011, an increase in investor complaints regarding private placements caused the Financial Industry Regulatory Authority (FINRA) to launch a nationwide investigation of broker/dealers marketing and selling the products. [read post]
1 Feb 2012, 7:10 am
In 2005, the Financial Industry Regulatory Authority (FINRA) issued the first of several notices reminding brokerage firms that it was inappropriate to recommend a TIC transaction if the recommendation was based solely upon information and representations made by the sponsoring company in the TIC’s offering document. [read post]
14 Apr 2023, 5:01 am
In enforcing any regulatory system, whether it involves food safety, financial stability of banks, or cybersecurity of critical infrastructure, there are three different questions regulators need to answer: Does the regulated entity have a good risk mitigation plan meeting the regulatory requirements? [read post]
1 Feb 2024, 1:25 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
8 May 2014, 6:22 am
Every dispute an investor has with their brokerage firm must be arbitrated through the Financial Industry Regulatory Authority (FINRA). [read post]
7 Sep 2023, 9:03 pm
Securities and Exchange Commission (SEC) issued an order directing equity exchanges and the Financial Industry Regulatory Authority to develop a new plan for producing data used in equity investing. [read post]
27 Apr 2023, 6:19 am
”By withholding a formal response to Coinbase’s rulemaking petition, the SEC has insulated its refusal from the ordinary avenues of judicial review—and deprived the industry of the path to registration that the SEC insists industry must follow, Coinbase said. [read post]
28 Oct 2011, 1:12 am
We will also coordinate with the Office of Financial Research to reduce reporting burdens by avoiding unnecessary or redundant data requests. [read post]
3 Mar 2020, 11:54 am
So it should come as no surprise that debt-relief legal and regulatory issues are back in the spotlight. [read post]
4 Oct 2018, 7:06 am
Investors need to be aware of the potential risks of purchasing Bitcoin, including legal risks, financial risks, and regulatory risks. [read post]
20 Jul 2012, 11:05 am
This has been part of the reason behind why "regulators, including the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Manhattan district attorney and officials in New Jersey and Delaware, have opened inquiries into JPMorgan's sales practices" reported the Times. [read post]
27 Feb 2007, 6:45 am
I recognized that agencies often do not exercise their full regulatory authority because of indifference, insufficient resources, lack of political will, or "capture" by the regulated industry. [read post]
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]
