Search for: "Financial Industry Regulatory Authority"
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21 Oct 2021, 6:35 am
The tenor of the report, however, is broadly consistent with proposed regulations already placed on the SEC’s Spring 2021 regulatory agenda and with legislation introduced in Congress that would lessen the impact of industry conflicts of interest.Key recommendations. [read post]
24 Aug 2009, 11:15 am
Wright eventually filed a complaint against Morgan Keegan with the Financial Industry Regulatory Authority (FINRA), and in March 2009 was awarded $18,000 for the financial losses she suffered. [read post]
25 Jan 2014, 3:00 am
By way of background, the U.S. is a member of the Financial Action Task Force (FATF), an inter-governmental body that "set[s] standards and promote effective implementation of legal, regulatory and operational measures for combating money laundering, terrorist financing and other related threats to the integrity of the international financial system." [read post]
1 Aug 2011, 12:58 pm
Colleen is a member of the Financial Industry Group (“FIG”), a global team of transactional, regulatory, and litigation attorneys serving the needs of financial institution clients. [read post]
23 Apr 2023, 9:01 pm
In this context, I would note we have proposals with regard to securities lending,[6] short sale disclosures,[7] and large position reporting for securities-based swaps.[8] Further, the Financial Industry Regulatory Authority is working to enhance post-trade transparency in the fixed-income markets to facilitate greater competition.[9] I will take a moment to elaborate on our work regarding equity markets and private funds.[10] Equity Markets Given the 68 million… [read post]
24 Feb 2012, 6:35 am
Priority has been to reinvesting the SEC to strengthen the regulatory structure and to pull back the veil of the financial industry. [read post]
8 Aug 2024, 9:05 pm
President Biden relied on the threats from climate change to use the DPA, which confers upon the President broad authority to influence domestic industry in the interest of national defense. [read post]
6 May 2024, 7:03 pm
FINRA BrokerCheck – Eddy Blizzard The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with The Financial Industry Regulatory Authority (FINRA). [read post]
13 Sep 2013, 2:27 pm
FSAs were required to register with the Financial Industry Regulatory Authority (“FINRA”) and sign a Uniform Application for Securities Industry Registration or Transfer, which is referred to as a “Form U-4. [read post]
16 Jul 2009, 12:17 pm
Our investor fraud cases have been heard in state and federal courts, as well as in arbitration before the Financial Industry Regulatory Authority, the American Arbitration Association, and the New York Stock Exchange. [read post]
30 Jun 2020, 12:47 pm
Filing a Complaint Against your Brokerage Firm 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]
3 Sep 2020, 7:51 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
16 Jun 2020, 6:40 am
FINRA Rule 8210 allows FINRA’s enforcement attorney’s the authority to investigate matters under its regulatory purview. [read post]
28 Feb 2012, 10:43 am
The Financial Industry Regulatory Authority, Inc. [read post]
19 Jan 2024, 3:43 am
Regulatory Proceedings and ESG Litigation Also Top the List of Legal Priorities Regulatory proceedings, environmental, social, and governance (ESG) litigation, and financial fraud class actions are also among the top concerns for corporate counsel, with over 60% of survey participants involved in at least one regulatory proceeding in 2023, marking an uptick from 2022. [read post]
28 Nov 2023, 10:19 am
” Outside Business Activities – FINRA Rule 3270 The Financial Industry Regulatory Authority (FINRA) requires registered representatives to disclose any outside business activities (OBAs) to their member firm, which is the firm that employs them. [read post]
19 Sep 2008, 4:23 pm
To that end, this Article proposes a self-regulatory framework for top-tier financial holding companies and investment banks both to make such determinations and help shoulder the burden in addressing the consequences. [read post]
27 Jun 2009, 4:03 am
" The Task Force was chaired by the CONSOB of Italy and the Financial Services Authority of the United Kingdom. [read post]
6 Dec 2016, 3:00 am
Chamber of Commerce (in part because it does not require whistleblowers to give notice to their employer at the same time they give it to authorities), the program has relatively broad bi-partisan support and has given rise to a cottage industry of law firms specializing in representing whistleblowers. [read post]
2 Feb 2023, 12:29 pm
The Financial Industry Regulatory Authority (FINRA) FINRA or the Financial Industry Regulatory Authority is a private corporation that acts to regulate the market. [read post]
