Search for: "Financial Industry Regulatory Authority"
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20 Aug 2009, 10:46 am
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) both issued investor alerts recently on leveraged and inverse ETFs, cautioning individuals about the investing pitfalls these highly specialized and complex products can create. [read post]
5 Aug 2019, 2:01 pm
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
31 May 2019, 11:21 am
High was reportedly suspended on April 18, 2019, from associating with any FINRA member firm in any capacity, according to the Financial Industry Regulatory Authority. [read post]
18 Sep 2020, 8:24 am
” The Financial Industry Regulatory Authority (FINRA) reportedly barred Fries on August 13, 2019 from association with any FINRA member in all capacities after he reportedly failed to request termination of his suspension within three months of the date of the Notice of Suspension. [read post]
21 Mar 2019, 6:41 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve such disputes. [read post]
14 Jun 2018, 7:45 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
26 Mar 2019, 10:07 am
The failure to do so can make the brokerage firm legally liable through a Financial Industry Regulatory Authority (FINRA) arbitration claim or lawsuit. [read post]
24 May 2018, 9:09 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
30 Jul 2013, 12:19 pm
In effect, this view of delegated administrative authority requires agencies to ignore common sense by pursuing their regulatory mission with single-minded ferocity. [read post]
6 Oct 2014, 2:11 am
The MAS recognises therefore that outsourcing is fundamentally important to the financial industry but wants to make sure that the risks involved are properly dealt with. [read post]
15 Aug 2011, 4:19 pm
While Section 941 applies the risk retention rules to all asset-backed securities, not just to mortgage-backed securities, the associations believe that the performance of non-mortgage-backed securities sectors throughout the financial crisis should be given significant weight in the regulalatory deliberations and use of exemptive authority. [read post]
15 Aug 2011, 4:19 pm
While Section 941 applies the risk retention rules to all asset-backed securities, not just to mortgage-backed securities, the associations believe that the performance of non-mortgage-backed securities sectors throughout the financial crisis should be given significant weight in the regulalatory deliberations and use of exemptive authority. [read post]
30 Dec 2022, 6:14 am
Shepherd Smith Edwards and Kantas (investorlawyers.com) is representing GPB Capital investors in the Financial Industry Regulatory Authority (FINRA) arbitration against the broker-dealers that sold private placements in one or more of the GPB Funds to customers. [read post]
4 Feb 2020, 7:00 am
Gann, who is not a registered broker at this time, is serving a three-month suspension imposed by the Financial Industry Regulatory Authority (FINRA). [read post]
16 Jul 2020, 6:29 am
Consumer Financial Protection Bureau, asking the court to put an end to PayPal, Inc. [read post]
12 Oct 2022, 1:13 pm
The regulatory process leading to the Vineyard Wind Project offshore Massachusetts began in 2010. [read post]
15 Oct 2020, 9:00 am
At present, The Bank of England, Financial Conduct Authority, Payment Systems Regulator, and HM Treasury each have specific roles and responsibilities for oversight of the cash system. . . . [read post]
15 Feb 2023, 9:52 am
FINRA Attorneys to Recover Investment Losses The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and provides a fair and effective venue to handle a securities-related dispute. [read post]
26 Sep 2011, 12:18 pm
In late May, the Financial Industry Regulatory Authority (FINRA) filed a complaint against David Lerner Associates related to distribution and valuation issues. [read post]
23 Jul 2021, 8:38 am
The digital currency might be a “measured path” to combat big tech monopolies, the authors argue. [read post]
