Search for: "Financial Industry Regulatory Authority"
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29 Jan 2024, 12:00 pm
A broker-dealer’s Central Registration Depository (CRD) record is a database maintained by the Financial Industry Regulatory Authority (FINRA) and is used to store and track information about individuals and firms involved in the securities industry. [read post]
23 Jun 2022, 9:04 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
3 Aug 2016, 1:00 pm
Furthermore, in October 2015, the CFPB convened a Small Business Review Panel with the Small Business Administration and Office of Information and Regulatory Affairs in the Office of Management and Budget for additional small business and trade industry feedback. [read post]
3 Jan 2012, 3:46 pm
In this spirit, the UK Financial Reporting Council will shortly develop a consensus about what constitutes a proper explanation. [read post]
7 Jan 2012, 11:10 am
In this spirit, the UK Financial Reporting Council will shortly develop a consensus about what constitutes a proper explanation under a comply and explain code.In its letter to the Commission, the Federal Republic was highly skeptical of requiring regulators or other authorities to monitor the comply or explain responses of German companies under the corporate governance code, which is a job best left to the markets. [read post]
11 Feb 2022, 8:25 am
The Financial Industry Regulatory Authority (FINRA) was investigating the possible conversion and improper use of customer funds after several customer lawsuits were filed against Morgan Stanley alleging that Cohen mismanaged their accounts and was selling away securities not approved by the firm through third-party loans, according to public documents on FINRA’s website. [read post]
6 Oct 2017, 6:00 am
These results have several policy implications on how regulatory agencies can maximize the value of their enforcements. [read post]
10 Oct 2019, 7:28 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]
21 Apr 2022, 1:40 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
19 Dec 2011, 12:33 pm
One example of such an initiative is the Financial Stability Board, the international body recently established to co-ordinate the work of national financial authorities and headed by Bank of Canada governor Mark Carney. [read post]
18 Apr 2019, 12:48 pm
In the healthcare industry, having a buttoned-up compliance program will enable a more efficient sales process. [read post]
11 Nov 2022, 2:37 pm
This sort of re-purposing of regulatory authority—pouring new wine out of old bottles—was something the Court would not allow in NFIB v. [read post]
15 Jul 2017, 10:52 am
For example, the Assistant Commissioner for financial institutions would likely be an officer from the Monetary Authority of Singapore (MAS). [read post]
22 Sep 2021, 8:55 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
20 Jun 2023, 7:26 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
1 Jun 2022, 9:16 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
4 Aug 2023, 7:16 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Feb 2021, 7:25 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
2 May 2022, 1:59 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
28 May 2021, 1:17 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
