Search for: "Financial Industry Regulatory Authority"
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19 Jan 2016, 9:30 pm
According to at least one industry participant, the market contains “a lot of pent-up demand from ordinary investors. [read post]
19 Jan 2016, 9:51 am
The CFTC compiles and relies on numerous regulatory and industry standards to justify its proposed demanding requirements, including those from the Federal Information Management Act, the National Institute of Standards (NIST) Cybersecurity Framework and several NIST Special Publications, the Financial Industry Regulatory Authority, the Council on CyberSecurity, the Federal Financial Institutions Examinations Council (FFIEC), Information… [read post]
19 Jan 2016, 9:27 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2014042302001) against Vaccarelli. [read post]
19 Jan 2016, 7:01 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Robert Richards Jr. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
19 Jan 2016, 2:22 am
While nobody is asserting that financial services professionals, investment advisers, registered representatives or others regulated by the Financial Industry Regulatory Authority (FINRA) are more prone to using, selling or possessing drugs, the reality is that an arrest in New York City or elsewhere for possession of cocaine, heroin, molly, MDMA, or even some prescription drugs can have dire consequences. [read post]
18 Jan 2016, 7:09 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Lance Slater (Slater). [read post]
15 Jan 2016, 7:42 am
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
14 Jan 2016, 1:23 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
14 Jan 2016, 8:52 am
Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FI... [read post]
13 Jan 2016, 5:05 pm
The explosive growth of business activity stemming from the Industrial Revolution first ignited the widespread adoption of financial auditing methods and prompted the ingress of financial reporting oversight into the boardroom. [read post]
13 Jan 2016, 9:35 am
In recent years, the Wells Notice model has been adopted by other regulatory agencies, most notably the Financial Industry Regulatory Authority (FINRA). [read post]
13 Jan 2016, 6:40 am
Therefore, the government preserves its regulatory authority in the aggregate – using combined information to set collective industry standards – because that is where it sees the value of AIS information. [read post]
11 Jan 2016, 8:55 am
She also co-authored an article for PIABA titled Protecting Clients with Diminished Capacity In The Securities Industry: It’s Tricky. [read post]
10 Jan 2016, 7:21 am
Over the past several years, the Financial Industry Regulatory Authority (“FINRA”), the self-regulatory organization responsible for regulating every brokerage firm and broker doing business with the U.S. public, brought between 1,300 and 1,600 disciplinary actions each year. [read post]
9 Jan 2016, 5:05 am
Lehmann, the author of the study. [read post]
6 Jan 2016, 12:59 pm
According to FA-Mag.com, The Financial Industry Regulatory Authority (FINRA) has charged Caldwell International Corp with churning customer accounts to generate $1 million in excess commissions. [read post]
5 Jan 2016, 6:40 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Bernthal (Bernthal). [read post]
4 Jan 2016, 4:08 pm
These policies, which provide a measure of catastrophe protection for corporate executives, would be triggered if the company wrongfully withheld advancement or indemnification from its executives, or if the company is financially unable to indemnify its executives or to advance defense expenses. [read post]
4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
