Search for: "Financial Industry Regulatory Authority"
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18 Dec 2019, 5:57 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
1 Nov 2017, 10:34 pm
In addition, pursuant to the rules and regulations set forth by the Financial Industry Regulatory Authority (“FINRA”), the financial advisor, and by extension his or her firm, must seek to ensure that they conduct a suitability analysis in order to determine if the investment being recommended is suitable for the investor in light of certain factors, including the customer’s age, risk tolerance and stated objectives, net worth and… [read post]
12 Nov 2019, 5:15 am
As we told you in March, Matthes was barred from acting as a broker or financial advisor in any capacity, according to the Financial Industry Regulatory Authority. [read post]
1 Oct 2018, 6:45 am
According to the Financial Industry Regulatory Authority, Bennett is the broker of record for thirteen arbitration claims filed dating back to February 2013, eight of which are still pending. [read post]
10 Mar 2019, 8:45 am
Discussion This coverage dispute involved a technical aspect of financial investment transactions and in the end the outcome was the result of the court’s interpretation of applicable financial industry regulations. [read post]
9 Apr 2020, 9:05 pm
Redfield explained that these measures are necessary to prevent worker shortages in critical industries. [read post]
24 Jul 2018, 9:30 pm
The Court’s decision has birthed what is projected by some to be a multi-billion dollar revenue stream not only for casinos, racetracks, and sports pool operators, but also for a wide variety of technology and financial industry companies, including software developers, sports information services, data analytics, geo-location, identity verification, and payment processing companies that will play roles in the development of online and mobile sports wagering applications. [read post]
9 May 2023, 5:16 am
As the demand to cast a regulatory net over digital industries has grown in recent years, one call in particular has emerged from the noise: support for the creation of a digital regulator to do the job. [read post]
25 Jul 2017, 1:31 pm
The DAO has been described as a "crowdfunding contract" but it would not have met the requirements of the Regulation Crowdfunding exemption because, among other things, it was not a broker-dealer or a funding portal registered with the SEC and the Financial Industry Regulatory Authority. [read post]
25 Jan 2024, 8:04 am
Nelson, J.D.The Financial Industry Regulatory Authority (FINRA) has updated its 2022 targeted exam review of how member firms talk to their retail customers about crypto assets and those firms’ related compliance with the communications rules contained in FINRA Rule 2210. [read post]
29 Apr 2012, 4:49 am
After the Three Mile Island accident, Congress divided the responsibilities of the Atomic Energy Commission, giving its mandate to promote nuclear power to DOE and its regulatory authority to the Nuclear Regulatory Commission (NRC). [read post]
17 Oct 2023, 9:05 pm
Carbon capture refers to the process of capturing and storing carbon emissions from sources such as power plants or industrial facilities. [read post]
14 Apr 2010, 3:00 am
Proprietary risk models and proprietary valuation models should also be disclosed and tightly constrained through a single regulatory agency. [read post]
11 Dec 2013, 9:37 pm
Industry specific regulations may be applied in addition to these controls to supplement and address security risks and threats in high impact information systems using cloud services (e.g.: Highly confidential business data, financial records, medical records). [read post]
17 Feb 2010, 5:31 am
Records with the Financial Industry Regulatory Authority (FINRA) state that Sullivan sold clients nearly $4 million of fake promissory notes between 1995 and 2008. [read post]
6 Sep 2022, 3:15 pm
”A 2003 notice from the securities regulator FINRA (Financial Industry Regulatory Authority) cautioned that non-conventional investments “with particular risks may be suitable for recommendation to only a very narrow band of investors. [read post]
24 Feb 2016, 3:25 pm
FinCEN has long viewed real-estate as a risk industry for money laundering and regulates a variety of traditional financial institutions providing financial services to the industry. [read post]
28 Dec 2008, 9:48 am
With anticipated budget cuts and reforms for Medicaid and Medicare in 2009, the structured settlement industry must improve and expand its educational and lobbying strategies if it expects structured settlements to play a vital role in this changing legislative and regulatory landscape. [read post]
5 Jul 2022, 8:39 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
8 Nov 2021, 1:27 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
