Search for: "Financial Industry Regulatory Authority"
Results 6581 - 6600
of 11,238
Sort by Relevance
|
Sort by Date
16 Jun 2016, 2:48 pm
In a separate order, Marsh agreed to an industry and penny stock bar with the right to apply for reentry after five years. [read post]
16 Jun 2016, 10:08 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
15 Jun 2016, 8:08 am
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, the Department of Health and Human Services Office of Inspector General, and the Financial Industry Regulatory Authority. [read post]
15 Jun 2016, 8:08 am
Today is a good time, however, for careful analysis of these recent SEC pronouncements and their underlying rationale and regulatory provenance. [read post]
15 Jun 2016, 7:00 am
Last month, the Financial Industry Regulatory Authority (“FINRA”) suspended an Ameriprise registered representative for one year and fined him $50,000 for altering a record in the client relationship management (“CRM”) software that the adviser used in his Ameriprise office. [read post]
15 Jun 2016, 6:18 am
Consider this recent FINRA regulatory settlement.Case In PointFor 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, Gregory Edward Barr sub... [read post]
14 Jun 2016, 8:19 am
This could put countries like Albania, an EU candidate country, between Chinese economic influence and European infrastructure needs and regulatory regimes. [read post]
14 Jun 2016, 6:26 am
(For example, some FTC Commissioners have openly suggested that Congress amend the FTC’s principal authorizing statute (the Federal Trade Commission Act) to eliminate the common carrier exemption. [read post]
13 Jun 2016, 9:30 pm
Regulatory capture is a big deal. [read post]
13 Jun 2016, 1:00 pm
Now, for the first time, the CFPB is exercising its authority to promulgate rules governing unfair, deceptive or abusive acts or practices within this industry. [read post]
13 Jun 2016, 6:41 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brian Smit (Smit) formerly working out of the Sioux Falls, South Dakota office of LPL Financial LLC (LPL). [read post]
13 Jun 2016, 6:41 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Mitchell Foote (Foote). [read post]
13 Jun 2016, 2:47 am
Adding to an unseemly yet unending stream of contradictory rulings going back over the years, the Internal Revenue Service now weighs in with its opinion as to whether the Financial Industry Regulatory Authority is a governmental actor, which would render the self-regulatory organization's fines as not tax deductible. [read post]
11 Jun 2016, 7:11 am
The complaint was filed The Financial Industry Regulatory Authority (FINRA) and involved multiple brokerage firms that hired advisor Ahmad Hashemian. [read post]
10 Jun 2016, 4:40 am
The Financial Industry Regulatory Authority ("FINRA") announced that it will be splitting the roles of Chair/Chief Executive Officer Richard Ketchum, and, in furtherance of that policy, has named Robert W. [read post]
9 Jun 2016, 3:28 pm
Of course, not every company is subject to the CFPB’s regulatory authority; the CFPB regulates entities that provide consumer financial products or services, a regulatory beat that cuts a wide swath through the economy, particularly as the agency has interpreted its regulatory authority. [read post]
9 Jun 2016, 10:18 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
8 Jun 2016, 10:44 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or d... [read post]
6 Jun 2016, 1:03 pm
In February, the Financial Industry Regulatory Authority said it was investigating firms’ compliance culture. [read post]
6 Jun 2016, 6:14 am
Since it lacks the affirmative authority to regulate financial services outside the context of employee benefit plans, the Labor Department tried to promulgate “this new regulatory regime” through its exemptive authority under ERISA, according to the complaint. [read post]
