Search for: "Financial Industry Regulatory Authority"
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28 May 2021, 8:02 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
28 Apr 2022, 8:39 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
17 May 2017, 11:54 am
Few BitLicenses have actually been granted to date, and those that have been granted were to major players in the industry such as Coinbase and Ripple. [read post]
4 Oct 2019, 12:00 pm
The Financial Industry Regulatory Authority (FINRA), a regulator of the securities industries, has issued guidance to financial professionals to help protect the investing public from being placed in unsuitable variable annuities. [read post]
29 Jan 2018, 11:28 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
5 Jul 2023, 8:33 am
New guidance on the trading venue perimeter In PS23/11, the FCA has set out new guidance on the regulatory perimeter for trading venues. [read post]
13 Feb 2014, 6:27 am
The New York-based investment firm did not have an adequate program in place to look for and detect suspicious penny stock transactions, according the Financial Industrial Regulatory Authority (FINRA). [read post]
16 Apr 2024, 9:05 pm
But this attitude started changing amid explosive industry growth and reports of hidden fees and conflicts of interest in the years following the global financial crisis of 2008. [read post]
3 Aug 2018, 9:03 am
., a brokerage firm registered with Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm registered with Securities Exchange Commission (“SEC”), as well as Merrill Lynch International Finance, Inc. [read post]
25 Feb 2013, 7:49 am
Posted by Gerald FergusonCo-Authored by: Theodore J. [read post]
15 Sep 2016, 3:40 am
Financial Times.Why Europe's New Copyright Proposals Are Bad News for the Internet. [read post]
18 Oct 2019, 7:16 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Byrd’s customer complaints allege that Byrd recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
10 Jul 2019, 4:52 am
The Financial Industry Regulatory Authority (FINRA) barred Former LPL broker Jason Nelson following allegations that he made misrepresentations about customer information related to the sale of annuities. [read post]
7 Jul 2021, 1:06 pm
According to Shafer’s BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA), Shafer’s discharge stemmed from allegations that he “borrowed money from an existing client without firm pre-approval, in contradiction of firm policies. [read post]
23 May 2019, 6:39 am
IMS has withdrawn its Financial Industry Regulatory Authority (FINRA) registration and notified FINRA of its intention to close. [read post]
13 Mar 2022, 9:06 pm
Supreme Court stayed implementation of the Biden Administration’s use of statutory authority under federal occupational health and safety law to curb the COVID-19 pandemic by requiring that approximately 80 million workers obtain suitable vaccination or participate in periodic testing. [read post]
5 Jul 2022, 9:07 am
The FCA has issued consultation proposals as these concern parts of the UK wholesale financial markets regime that are already set out in regulatory rules and guidance and are not contingent on changes that are intended to be implemented via the Financial Services and Markets Bill. [read post]
30 Jul 2009, 6:04 am
Combined with tougher capital and liquidity requirements and a tougher regulatory stance on the part of the Financial Services Authority (FSA), the "comply or explain" approach to guidance and provisions under the Combined Code provides the surest route to better corporate governance practice in BOFIs. [read post]
27 Apr 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
16 Aug 2017, 12:35 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]
