Search for: "Financial Industry Regulatory Authority"
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22 Jul 2016, 9:45 am
Six months later, the Financial Industry Regulatory Authority banned him from the securities industry. [read post]
15 Sep 2023, 6:38 am
Securities and Exchange Commission authority. [read post]
19 Jul 2018, 7:07 am
A financial industry reform group called Better Markets issued a statement that FINRA's proposals do not go nearly far enough in reigning in illegal conduct among financial advisors. [read post]
11 Jun 2019, 6:19 am
Accordingly, determining what is “direct and significant” to the U.S. financial system should be at the heart of the CFTC’s approach to cross-border issues. [read post]
23 Aug 2021, 1:08 pm
Two Pending Investment Arbitration Claims Allege “Unsuitable” Investment Recommendations According to Ianace’s BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA), two of Ianace’s customers recently initiated securities arbitrations—one against Wells Fargo and one against Merrill Lynch—relating to the alleged mishandling of their accounts: One customer alleges Ianace “made unsuitable… [read post]
7 Feb 2011, 12:52 pm
As reported Feb. 6 by Investment News, the SEC’s ruling comes on the heels of a pilot program by the Financial Industry Regulatory Authority (FINRA) that allowed certain investors the choice of substituting an industry arbitrator with a public panelist. [read post]
19 Oct 2021, 10:10 am
Businesses, their employee benefit plan fiduciaries, their employer and other sponsors, their record keepers, financial advisors and other service providers and other business partners face growing pressure to shore up cyber security and cyber breach compliance and other safeguards to defend against a slew of new and ongoing federal cyber security and breach regulatory and enforcement the Biden-Harris Administration is rolling out in its effort to stem the rising tide… [read post]
6 Oct 2009, 8:26 am
Crawford lauded the successes of state securities regulators while criticizing the federal regulators, particularly the Financial Industry Regulatory Authority, or FINRA. [read post]
11 Aug 2022, 9:12 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
9 Dec 2008, 11:51 pm
Wallace, who was vice president and chief counsel in the Financial Industry Regulatory Authority's market regulation department, joins the firm's securities enforcement and litigation practice. [read post]
29 Sep 2014, 4:15 pm
This report examines the confluence of factors that led to the rise of dark pools; the potential benefits and costs of such trading; some regulatory and congressional concerns over dark pools; recent regulatory developments by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), which oversees broker-dealers; and some recent lawsuits and enforcement actions garnering… [read post]
8 Dec 2014, 2:45 pm
Financial Industry Regulatory Authority (“FINRA”) rules expressly prohibit registered financial advisors from selling unsuitable investments to the public. [read post]
14 Jun 2010, 8:46 am
In the view of FSA official Waters, this would give ESMA a direct regulatory role that it has with no other financial institution. [read post]
27 Aug 2007, 2:05 pm
Regulatory Impact AnalysisA. [read post]
3 Feb 2023, 1:46 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
27 Apr 2010, 2:17 am
RiskMetrics is a provider of financial risk management services for credit, market, accounting, regulatory, and other risks. [read post]
31 Oct 2014, 3:20 pm
In some regulatory contexts, the burdens of proof are deliberately reduced, or shifted to the regulated industry. [read post]
7 Jun 2009, 9:32 am
• Are the Securities and Exchange Commission and the Financial Industry Regulatory Authority ever going to take actions against any of the big Wall Street banks and their management personnel for their roles in the sale of toxic products to retail investors? [read post]
24 Mar 2021, 8:16 am
In all jurisdictions, these exchanges are supposed to be regulated by financial authorities and exchanges must verify the identities of their users. [read post]
30 Sep 2019, 5:41 am
Hoffman, formerly registered with LPL Financial LLC (LPL Financial) and Union Capital Company (Union Capital) was subject to charges of securities fraud by The Securities and Exchange Commission (SEC) according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
