Search for: "Financial Industry Regulatory Authority"
Results 6641 - 6660
of 11,238
Sort by Relevance
|
Sort by Date
16 May 2016, 12:51 pm
As part of those efforts, the agencies are requesting that the Financial Industry Regulatory Authority (FINRA) consider a proposal to require its member brokers and dealers to report Treasury cash market transactions to a centralized repository.Treasury’s recent request for information (RFI) on the evolution of the U.S. [read post]
16 May 2016, 8:45 am
Alan Kaplinsky, who leads Ballard Spahr’s Consumer Financial Services Group, was invited by the CFPB to attend the field hearing to present the financial services industry’s position on the proposed regulations. [read post]
16 May 2016, 7:13 am
According to reports, James “Jeb” Bashaw is seeking $30 million in an arbitration claim filed Tuesday with the Financial Industry Regulatory Authority Inc., naming both LPL and LPL’s CEO Mark Casady as respondents. [read post]
16 May 2016, 3:53 am
In my opinion, a recent Financial Industry Regulatory Authority disciplinary proceeding presents an outrageous bit of misconduct by the registered representative respondent. [read post]
14 May 2016, 6:44 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Lisa Lowi (Lowi). [read post]
13 May 2016, 6:47 am
This development highlights the increasing regulatory and enforcement focus FINRA & the SEC are placing on the use of trading algorithms in the financial services industry. [read post]
12 May 2016, 9:30 pm
Food and Drug Administration (FDA) issued final rules that extend FDA authority to e-cigarettes and ban their sale to children under eighteen—a move applauded by public health experts, who say the industry needs oversight, but criticized by e-cigarette companies, who argue that the rules will overwhelm small businesses. [read post]
11 May 2016, 9:30 pm
He also presented three main sets of regulatory solutions that are available to regulators: enact broad principles of business conduct and rely on litigation to determine whether these principles have been met; enact more specific, technical rules and engage in administrative enforcement; or make overarching structural change to an industry. [read post]
11 May 2016, 11:31 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for allegedly inadequately supervising firm-wide internal “flash” emails sent by its research analysts to convey information about companies and industries the firm covered. [read post]
11 May 2016, 7:55 am
Financial Conduct Authority’s Innovation Hub, which FCA Director of Strategy and Competition Christopher Woolard said was to begin taking applications this week. [read post]
10 May 2016, 11:16 am
On May 3, 2016, the Financial Industry Regulatory Authority announced that MetLife Securities, Inc. agreed to pay $25 million to settle allegations that the company misled its customers in tens of thousands of variable annuity replacement applications. [read post]
10 May 2016, 6:00 am
The Financial Industry Regulatory Authority (“FINRA”) recently released guidance on effective practices for financial services firms that provide digital investment advice services. [read post]
10 May 2016, 5:17 am
Financial Conduct Authority, the report notes.Data protection. [read post]
9 May 2016, 10:30 am
(FINRA Jobs, via SimplyHired.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting; FINRA Ombuds Publishes 2014 Report. [read post]
6 May 2016, 11:45 am
Stamer’s more than 28 years’ of leading edge work as an practicing attorney, author, lecturer and industry and policy thought leader have resulted in her recognition as a “Top” attorney in employee benefits, labor and employment and health care law. [read post]
6 May 2016, 11:44 am
” In addition, the Commission laid out in the NPRM at least 500 questions on which it seeks input from the industry and the public during the comment period. [read post]
6 May 2016, 8:01 am
New research shows that getting senior-aged investors to exhibit heightened emotions may cause those investors to more easily part with their hard-earned savings and retirement proceeds, according to a New Release published by the Financial Industry Regulatory Authority (FINRA). [read post]
6 May 2016, 7:18 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against former Kovack Securities Inc. [read post]
6 May 2016, 4:16 am
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, Matthew John Brock submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
5 May 2016, 1:00 pm
The CAT incorporates cybersecurity-related principles from the FFIEC IT Examination Handbook and regulatory guidance, and concepts from other industry standards, including the National Institute of Standards and Technology (NIST) Cybersecurity Framework. [read post]
