Search for: "Financial Industry Regulatory Authority"
Results 6701 - 6720
of 11,238
Sort by Relevance
|
Sort by Date
14 Apr 2016, 9:30 pm
Despite the rejection, financial industry officials insisted there was no cause for concern, with the Financial Services Forum’s John Dearie claiming the living will process was intended to be iterative and that the banks are stronger than before the 2008 crisis. [read post]
14 Apr 2016, 3:34 pm
In 2014, the Financial Industry Regulatory Authority (FINRA) barred Donnelly from working in the industry for similar allegations (read more here). [read post]
14 Apr 2016, 7:45 am
Members are required to represent that they are authorized to bind their affiliates to the terms of the policy, including parent and sister companies. 1. [read post]
13 Apr 2016, 6:12 pm
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, the Financial Industry Regulatory Authority, and the Options Regulatory Surveillance Authority.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
13 Apr 2016, 10:40 am
Hard-to-trace shell companies have served as fronts for controversial foreign buyers of top-end real estate in cities including New York and Miami.Federal rules have also allowed U.S. political donors to hide campaign contributions by donating to super PACs through limited liability corporations.One prominent Republican donor, the gambling industry magnate Sheldon Adelson, tried to hide behind secrecy protections when he purchased the Las Vegas Review-Journal last year.The company’s… [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
12 Apr 2016, 10:18 am
The rules and regulations governing how brokers handle ordinary non-retirement accounts are solely within the province of the Securities and Exchange Commission and the Financial Industry Regulatory Authority. [read post]
12 Apr 2016, 10:18 am
The rules and regulations governing how brokers handle ordinary non-retirement accounts are solely within the province of the Securities and Exchange Commission and the Financial Industry Regulatory Authority. [read post]
12 Apr 2016, 8:27 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker John Prinzivalli (Prinzivalli). [read post]
12 Apr 2016, 8:20 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Michael Androulakis (Androulakis). [read post]
11 Apr 2016, 9:30 pm
The next steps for improving higher education reform, it seems, will not involve imposing a single regulatory approach on the entire industry. [read post]
11 Apr 2016, 10:15 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]
11 Apr 2016, 10:15 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]
11 Apr 2016, 6:02 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Shadi “Sean” Barakat (Barakat). [read post]
11 Apr 2016, 6:01 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Bernardo Misseri (Misseri). [read post]
11 Apr 2016, 6:00 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker William Baumner (Baumner). [read post]
7 Apr 2016, 9:51 pm
In a paper recently published in the Administrative Law Review Accord, Batkins explored Congress’ move towards a regulatory budget as a means of reasserting its constitutional authority in the face of regulatory interventions over the past few years. [read post]
7 Apr 2016, 10:08 am
At issue was the “stability clause” included in the deal barring regulatory changes impacting the gas industry for ten years, which supporters said was necessary to provide investment stability. [read post]
6 Apr 2016, 4:17 pm
Is the IRS authorized to do this? [read post]
