Search for: "Financial Industry Regulatory Authority"
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8 Sep 2019, 7:56 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Murray’s customer complaint concerns allegations of unsuitable investments. [read post]
24 Apr 2020, 9:31 am
These recent investigations demonstrate the current regulatory climate for lease-to-own companies and the heightened scrutiny by federal regulatory authorities, such as the FTC, on the subprime financial marketplace in which the lease-to-own industry operates. [read post]
21 Apr 2020, 8:35 am
It includes risk management function, financial control function, compliance function, internal audit function, actuarial function and any other function specified by the Financial Secretary by notice published in the Gazette. [read post]
4 Sep 2019, 12:45 pm
And yet at the same time these lofty possibilities will likely be constrained by the real limitations of technical capacity and the allocation of authority between a bank manager and an ethics "super-ego" with influence but no real authority. [read post]
15 Jul 2020, 7:20 am
With the constant development of China’s asset management industry, Llinks keeps close working relationships with the relevant authorities and industry regulators. [read post]
31 Jan 2022, 6:41 am
He had been in the industry since 1976. [read post]
2 Aug 2016, 7:32 am
“A well-functioning and resilient Treasury market is critical to the financial system, and serves policymakers and market participants alike. [read post]
22 Feb 2012, 11:50 am
Under the Act, the Department of Homeland Security (“DHS”) would have significant responsibility for crafting and enforcing a new cybersecurity program that has the potential to impact a broad and diverse group of the nation’s industrial sectors including energy, chemical, transportation, telecommunication and financial services. [read post]
26 Jul 2022, 9:01 pm
I would like to address three topics: first, I will touch on three areas of particular interest to our Division; second, I’ll mention two specific developments confronting the investment management industry in the coming months; and, third, I’ll focus on one of our largest projects and a topic of recurring interest, money market funds. * * * Let’s begin with a broad array of topics on our regulatory map. [read post]
3 Aug 2022, 10:28 pm
The key industry body is InsurTech Australia. [read post]
7 Sep 2023, 3:20 am
Under the guidance of regulatory authorities, Sara Lee issued a voluntary recall of 35 million pounds of ready-to-eat meat products. [read post]
28 Sep 2016, 9:41 am
The threats of private and structural power were not just substantive; they represented a usurpation of the proper role of citizens and communities as the agents and authors of a (nominally) democratic polity. [read post]
11 Apr 2009, 4:16 pm
FINRA, also known as the Financial Industry Regulatory Authority, provides the arbitration forum for resolving disputes with brokerage firms. [read post]
29 Apr 2022, 10:37 am
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]
24 Oct 2011, 4:52 am
It’s hard to believe that, what with Elizabeth Warren and all, consumers could not have gotten the message that the capitalists are trying to cheat them, particularly in the financial services industry. [read post]
18 Feb 2022, 9:23 am
Legal and Regulatory Developments SPOTLIGHT: Visa Had a Monopoly on Payments at the Olympics for 36 Years. [read post]
5 Oct 2011, 5:37 pm
A fundamental weakness of a “self-regulatory” or “voluntary” model of press supervision is that it is only as effective as the number of industry members that sign up to it and agree to abide by the jurisdiction of whichever industry body is established to oversee it. [read post]
3 Jul 2016, 4:00 am
Furthermore, the Respondent’s principal had a history including significant regulatory sanction for misconduct in the securities industry, and dissipating shareholder value in other enterprises. [read post]
2 Aug 2023, 9:24 am
FSR filled a regulatory gap which existed since 1958. [read post]
22 Apr 2024, 11:39 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
