Search for: "Financial Industry Regulatory Authority"
Results 6561 - 6580
of 11,267
Sorted by Relevance
|
Sort by Date
24 May 2013, 2:13 pm
According to the Financial Industry Regulatory Authority (FINRA) CRD, Blake Richards was registered with FINRA member firms from April 2000 until May 2013. [read post]
14 Oct 2013, 2:32 pm
The Financial Industry Regulatory Authority provides the largest forum in the US to resolve investor disputes against their stockbroker. [read post]
5 Aug 2021, 7:17 am
More Information This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
18 Feb 2015, 9:48 am
Authored by Judy Selby and George Viegas* Our traditional approach to cyber risk and security has been focused on privacy and financial data. [read post]
23 Sep 2021, 6:59 pm
FINRA Bars Michel Shillin after Customers File Complaints On December 18, 2020, The Financial Industry Regulatory Authority (FINRA) reportedly barred Shillin (CRD#: 5927156, Altoona, WI) from association with any FINRA member in all capacities after he purportedly refused to appear for on-the-record testimony. [read post]
7 May 2023, 7:01 am
The burden of compliance weighs heavily on the applicant and often at a significant financial cost. [read post]
12 May 2022, 10:06 pm
Engage in a public process and exercise statutory authority to develop a comprehensive regulatory approach to crypto assets. [read post]
26 Feb 2024, 10:00 pm
Check out our Practical Guidance Author Center ! [read post]
14 Sep 2012, 9:39 am
Turetzky andquot;that these violations should be reported to the Financial Industry Regulatory Authority Inc. [read post]
1 Mar 2013, 3:12 pm
The circuit court found the arbitration agreement between the parties designated the National Association of Securities Dealers (NASD) as an exclusive arbitral forum, the NASD was unavailable to arbitrate because it no longer existed, and the court could not substitute the Financial Industry Regulatory Authority (FINRA) for NASD. [read post]
27 May 2019, 1:37 am
Nevertheless, the effective application of most of these provisions is subject to the intervention of regulatory texts which will only take place in 2020. [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]
27 Jun 2012, 9:30 pm
If Congress instructs agencies to issue rules without further congressional approval, then the President does not have the authority to impose congressional approval as an additional condition of regulatory action. [read post]
8 Sep 2015, 8:07 am
were fined by the Financial Industry Regulatory Authority (FINRA) for making unsuitable recommendations to investors. [read post]
22 Jul 2010, 5:33 pm
After all, the regulatory disclosure regime prior to 2008 was fairly substantial. [read post]
6 Aug 2024, 10:00 am
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
6 Feb 2023, 9:14 am
As we reported in March 2022, his FINRA BrokerCheck Profile indicates that the regulatory agency, the Financial Industry Regulatory Authority (FINRA) barred Rivero on June 4, 2021 after he allegedly refused to provide information and documents requested by FINRA in connection with its investigation of allegations made by his former customers. [read post]
27 Jun 2018, 6:30 am
In addition, the Financial Industry Regulatory Authority (FINRA) Rule 2020 similarly prohibits members from effecting any transaction by means of any manipulative, deceptive, or fraudulent device. [read post]
22 Mar 2024, 6:37 am
“Now is therefore precisely the right time to consider if reform of the SEC’s regulatory processes is needed,” Gulliver added.Other controversial rules. [read post]
24 Apr 2012, 9:33 pm
The roundtable brought together representatives from the financial industry, government, legal profession, and scholarly community for an intense discussion of the core challenges presented by the rule. [read post]
