Search for: "Financial Industry Regulatory Authority"
Results 6501 - 6520
of 11,238
Sort by Relevance
|
Sort by Date
29 Jul 2016, 1:00 pm
This rulemaking would mark the first time regulations would be issued to implement the FDCPA, and it is likely to have significant effects on the debt collection industry. [read post]
29 Jul 2016, 8:51 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
28 Jul 2016, 9:30 pm
Further, Shapiro argued that the speakers failed to account for external causes of downturns in certain industries, specifically citing the role low oil prices have played in the coal industry’s struggles. [read post]
28 Jul 2016, 2:30 pm
§164.310(c) by failing to implement physical safeguards for all workstations that access ePHI to restrict access to authorized users; From the compliance date of the Security Rule, April 20, 2005, to March 14, 2013, UM violated 45 C.F.R. [read post]
28 Jul 2016, 1:42 pm
Brown is currently employed and registered with Capital Portfolio Management, Inc. and works at the broker-dealer’s Timonium, Maryland office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
27 Jul 2016, 2:34 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
26 Jul 2016, 2:38 pm
Syslo was employed by Morgan Stanley from June 2009 to June 2016, according to his publicly available BrokerCheck report maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
26 Jul 2016, 9:43 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Craig Langweiler (Langweiler). [read post]
26 Jul 2016, 9:42 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Neal Scott (Scott). [read post]
26 Jul 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) maintains the Trade Reporting and Compliance Engine (TRACE) vehicle to facilitate the mandatory reporting of bond sales in the United States. [read post]
25 Jul 2016, 3:05 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
25 Jul 2016, 7:46 am
Member states The NIS Directive obliges member states to: adopt a national NIS strategy to define their strategic objectives and appropriate policy and regulatory measures in relation to cybersecurity; designate a national competent authority for the implementation and enforcement of the Directive; and a Computer Security Incident Response Teams (CSIRTs) responsible for handling incidents and risks (which can be the same as the national competent authority). [read post]
25 Jul 2016, 3:51 am
"Case In PointBad luck and trouble taking meI have no money to showFor 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 o... [read post]
25 Jul 2016, 2:12 am
Case In Point For 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, Brian P. [read post]
23 Jul 2016, 4:07 am
The securities lawyers of Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker Thomas Schober (Schober). [read post]
22 Jul 2016, 12:07 pm
On March 7, 2016, Lax & Neville LLP, together with a number of other concerned law firms, submitted a letter to Financial Industry Regulatory Authority (“FINRA”) urging it to take action in light of Credit Suisse’s repeated violations. [read post]
22 Jul 2016, 12:07 pm
On March 7, 2016, Lax & Neville LLP, together with a number of other concerned law firms, submitted a letter to Financial Industry Regulatory Authority (“FINRA”) urging it to take action in light of Credit Suisse’s repeated violations. [read post]
22 Jul 2016, 11:01 am
On June 8, 2016, the Cayman Islands introduced the highly anticipated Cayman Islands Limited Liability Companies Law, developed in a joint effort by the Cayman Islands Government and the Cayman Islands Monetary Authority in response to requests from the investment funds industry. [read post]
22 Jul 2016, 9:48 am
Abrams is currently employed and registered with Ameriprise Financial Services, Inc., and works at the broker-dealer’s Marlton, New Jersey office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
22 Jul 2016, 9:45 am
Six months later, the Financial Industry Regulatory Authority banned him from the securities industry. [read post]
