Search for: "Financial Industry Regulatory Authority"
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27 May 2021, 9:15 am
FCA Extends SCA Deadline by a Further Six MonthsFinextra – May 20, 2021 The UK’s Financial Conduct Authority is to delay the implementation of strong customer authentication rules by a further six months in an effort to minimise disruption to consumers and merchants. [read post]
18 Apr 2011, 9:57 am
As the U.S. economy continues to recover from recession, it is clear that the judicial and regulatory landscape has changed for the financial community. [read post]
18 Dec 2023, 2:48 pm
We have also developed a checklist to help managers effectively oversee the business and regulatory landscape for the coming year. [read post]
13 Jun 2019, 8:42 am
His scheme reportedly fell apart when one of his clients contacted the Financial Industry Regulatory Authority (FINRA) and Simanski admitted his wrong doing to his employer. [read post]
10 May 2017, 6:06 pm
These usually were meant to protect sensitive industries, but could also be used to protect national development schemes. [read post]
20 Mar 2009, 8:30 am
The Congress should not interfere in the NRC's ongoing Waste Confidence and Temporary Storage rulemakings, and let this regulatory body attempt to fulfill its independent regulatory mandate. [read post]
26 Jul 2010, 2:04 pm
However, PHR services are increasingly offered by entities outside the traditional coverage of HIPAA, including search engines, software manufacturers, online health sites, and financial institutions. [read post]
20 Feb 2020, 2:30 pm
Although changes to the regulatory capital treatment of sustainability linked debt are in contemplation at both a European and UK level, they are in their infancy. [read post]
21 Jun 2010, 7:25 am
On May 26, 2010, the Securities and Exchange Commission (the “SEC”) proposed to require the Financial Industry Regulatory Authority and the national securities exchanges (collectively, the “SROs”) to adopt a plan (the “Plan”) for the development, implementation and maintenance of a consolidated audit trail (“CAT”) for the listed equities and options markets… Read this entire article for free,… [read post]
30 Sep 2020, 12:36 pm
In June, the Financial Industry Regulatory Authority’s (FINRA) indefinite suspension of Sanchez Rivera went into effect. [read post]
16 Feb 2009, 8:51 am
Note that STM filed the Financial Industry Regulatory Authority arbitration in February 2008; that the proceedings consumed 32 pre-hearing and hearing days; and that the panel rendered its award less than a year after initiation. [read post]
30 Jan 2020, 7:57 am
A few months later, the Financial Industry Regulatory Authority (FINRA) suspended Owens for a year, through August 2020, for the same reasons. [read post]
27 Jun 2008, 5:37 pm
And Walter is a senior executive at the Financial Industry Regulatory Authority. [read post]
9 Jun 2010, 7:25 am
The Securities and Exchange Commission announced June 4 that within a week, its staff expects to present recommendations on a proposal by national securities exchanges and the Financial Industry Regulatory Authority to halt trading in… Read this entire article for free, simply activate your free 15 day trial access to Alternative Investment Law Report now. [read post]
14 Mar 2012, 9:39 am
Financial Industry Regulatory Authority (FINRA) arbitrators have ordered Citigroup on multiple occasions to pay millions to those who invested in the MAT/ASTA funds. [read post]
14 Oct 2009, 12:28 pm
YieldPlus investors who opt out may want to consider pursuing a claim for their losses through arbitration before the Financial Industry Regulatory Authority (FINRA), as many investors have already done. [read post]
6 May 2022, 9:18 am
In November 2021, with a starting date of March 3, 2022, the Financial Industry Regulatory Authority (FINRA) permanently barred Fortner after he did not respond to requests for information into its investigation. [read post]
18 Dec 2008, 12:34 am
While I don’t know much about Schapiro, her background as head of Financial Industry Regulatory Authority and the Commodities Futures Trading Commission certainly seems helpful. [read post]
6 Feb 2018, 12:20 pm
If he does not, his brokerage firm may be liable for losses in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. [read post]
22 Nov 2022, 7:56 pm
If this is the case for you, then you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) lawsuit against your broker-dealer for damages. [read post]
