Search for: "Financial Industry Regulatory Authority"
Results 6601 - 6620
of 11,263
Sorted by Relevance
|
Sort by Date
15 Dec 2023, 9:30 pm
In Tanzania, it was highlighted that Tanzania, though displaying positive figures and a promising outlook in the technology industry, it still continued to lag behind its peers in terms of attracting tech financiers and making tech wins known on the local scene. [read post]
10 Jun 2012, 10:35 am
Budreau entered into a consent agreement with Financial Industry Regulatory Authority (Finra), under which he was suspended from association with any Finra member for 10 business day and issued a $5,000 fine. [read post]
25 May 2021, 7:39 am
The regulatory vulnerability of Chinese Big Tech, in turn, facilitates their cooperation with Beijing to help the latter achieve its goals, be it in antitrust or other industrial policy matters. [read post]
24 Jul 2019, 10:00 am
Legal and Regulatory Developments SPOTLIGHT: US Reps, Senators Present Faster Payments LegislationPYMNTS – July 24, 2019 To reinforce the Federal Reserve’s authority to create a real-time payments system and mandate that the Fed brings about its own process, two U.S. representatives and two U.S. senators have introduced the Payment Modernization Act of 2019. [read post]
17 Jan 2012, 5:14 am
The three possible options would be: Authorizing the SEC to conduct the examinations and fund them by collecting user fees; Authorize a new self-regulatory organization (SRO) to examine the advisers; or Authorize the Financial Industry Regulatory Authority (FINRA) to examine the advisers The economic analysis of the options was based on public research along with more than 40 in-depth interviews with various investment… [read post]
17 Feb 2010, 2:30 pm
Industry experts believe that this change would yield substantial benefits to firms individually, to the financial services industry, and to the economy as a whole. [read post]
27 Oct 2022, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
2 Feb 2017, 12:38 pm
In Russia, the FSB is the regulatory agency responsible for authorizing the importation of IT products that incorporate encryption technology. [read post]
7 Oct 2016, 9:58 am
He was also barred from the securities industry by FINRA in 2015. [read post]
27 Nov 2017, 2:31 pm
Establishing strategic dialogue between the industry and regulators. [read post]
7 Dec 2022, 11:17 am
See: Bradley Goodbred allegedly stole $1.2 M from Elderly Client The Financial Industry Regulatory Authority (FINRA) reportedly barred Goodbred last March after he reportedly refused to provide testimony in FINRA’s investigation regarding his alleged dismissal from his member firm, LPL Financial. [read post]
25 Jan 2018, 11:33 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
20 Nov 2011, 6:44 pm
As of now, industry professionals have noted the complexity of US regulatory measures. [read post]
16 Apr 2015, 11:14 am
(collectively “UBS”) for its marketing and sale of closed-end bond funds composed of Puerto Rican municipal debt (the “Puerto Rico Bond Funds”), two former UBS registered representatives, Jorge and Teresa Bravo (collectively, the “Bravos”), are suing the firm in an arbitration before the Financial Industry Regulatory Authority (“FINRA”) for its sales and management practices with respect to the Puerto Rico Bond Funds… [read post]
29 Sep 2009, 8:11 am
Later that same month, the Financial Industry Regulatory Authority (FINRA) began probing for information about sales of private placements from broker/dealers who sold Medical Capital offerings to investors. [read post]
8 Apr 2014, 3:45 pm
Brokers-dealers that make unsuitable investment recommendations and/or mislead clients regarding DBSI may be in violation of securities law enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
16 Sep 2009, 1:33 pm
Financial Industry Regulatory Authority (FINRA), published a regulatory notice regarding the approval by the Securities and Exchange Commission of amendments to NASD Rules 1022 and 1032. [read post]
10 May 2019, 7:05 am
Today’s proposals reflect an important step forward in the Commission’s efforts to stand up the Dodd-Frank Title VII regulatory regime. [read post]
28 May 2019, 9:13 am
” Then the Financial Industry Regulatory Authority Inc. [read post]
19 Oct 2009, 2:00 pm
The government has repeatedly asserted that regulatory overhaul is needed to protect us from another financial disaster. [read post]
