Search for: "Financial Industry Regulatory Authority"
Results 6501 - 6520
of 11,288
Sorted by Relevance
|
Sort by Date
SFSP Survey Of How Credentialed Professionals Feel About Regulating Use of Professional Designations
21 Dec 2007, 7:29 pm
The Society is the only professional organization in the industry that requires its members to be credentialed or actively pursuing one of these widely-recognized financial service designations or degrees: CASLââ [read post]
23 Jan 2014, 7:25 am
The Financial Industry Regulatory Authority (FINRA) recently issued a “Report on Conflicts of Interest” that focused on enterprise-level frameworks to identify and manage conflicts of interest; approaches to handling conflicts of interest distributing new financial products; and approaches to compensating their associated persons. [read post]
13 Jun 2012, 9:00 am
Financial Industry Regulatory Authority announced a new pilot program will launch on July 2 that will give parties more flexibility in cases involving more than $10 million in claims. [read post]
13 Feb 2023, 9:05 pm
The Great Recession did not spark a regulatory movement comparable to the overhaul following the Great Depression, even though it was a comparable financial crisis. [read post]
7 Dec 2009, 12:34 pm
Since then, many investors have begun legal action to get their money back by filing individual arbitration claims with the Financial Industry Regulatory Authority (FINRA). [read post]
31 Jul 2020, 12:08 pm
According to multiple sources familiar with the New Hampshire securities regulator’s investigation, the churning claims that alerted the regulator stem from two arbitrations filed before the Financial Industry Regulatory Authority (“FINRA”), one by former New Hampshire Governor Craig Benson and the other from Benson’s long-time friend and business partner, Robert Levine. [read post]
23 Sep 2021, 1:55 pm
Instead, pursuant to the contract binding you, the investor/client, to the brokerage firm, you must submit all disputes to arbitration through the Financial Industry Regulatory Authority (FINRA). [read post]
29 Jul 2023, 10:16 am
Cooperation with Authorities: Demonstrating cooperation with regulatory bodies and law enforcement agencies during investigations can help establish a positive image and potential mitigating factors. [read post]
2 Jun 2021, 5:56 am
Broten was barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity under the terms of a Letter of Acceptance, Waiver and Consent dated October 1, 2020, accessible here. [read post]
2 Jun 2016, 9:22 am
I think that is worth keeping in mind in reading this complaint, as the actual legal issues are much more subtle than the broad discussion of financial services regulation in the complaint might suggest: the case isn’t, in the end, going to be about the propriety or scope of regulating the financial industry, but instead about the scope of the Department’s authority and the procedural manner in which it acted. [read post]
25 Mar 2020, 7:26 am
The FDIC hopes this streamlined process will not only improve the participation rates, but also result in more detailed data that will be meaningful for the whole financial services industry. [read post]
15 Jul 2012, 2:20 pm
Could it be because the OCC tends to be a darling of the financial industry, rather than an agency that restrains it? [read post]
24 Oct 2018, 1:02 pm
Fox Rothschild will continue to follow California’s marijuana industry rule-making process, as the state’s regulatory scheme may well become a model for other states considering legalizing adult use of marijuana. [read post]
28 May 2013, 3:37 pm
Morgan Stanley DW, Inc. which said a Financial Industry Regulatory Authority panel exceeded its authority when it dismissed arbitral claims based on expiration of the applicable statute of limitations. [read post]
28 May 2013, 3:37 pm
Morgan Stanley DW, Inc. which said a Financial Industry Regulatory Authority panel exceeded its authority when it dismissed arbitral claims based on expiration of the applicable statute of limitations. [read post]
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]
