Search for: "Financial Industry Regulatory Authority"
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19 Jan 2024, 11:52 am
In 2019, the Financial Industry Regulatory Authority (FINRA) reportedly sanctioned Robinhood Financial with a $1.5 million fine for allegedly failing to ensure investors received the best prices on securities orders. [read post]
13 Jun 2016, 1:00 pm
Now, for the first time, the CFPB is exercising its authority to promulgate rules governing unfair, deceptive or abusive acts or practices within this industry. [read post]
22 Jun 2011, 9:15 am
Baram includes economist, and my co-author, David S. [read post]
27 Feb 2018, 7:00 am
The author would like to thank Kassandra Shortt, Articling Student, for her assistance in preparing this legal update. [read post]
20 Apr 2010, 1:40 pm
However, the NAIC’s investigation and possible regulation of STOA would be limited to transactions involving insurance, because transactions involving variable annuities are outside the state insurance commissioners’ regulatory authority; they are instead regulated by the Securities and Exchange Commission and the Financial Industry Regulatory Authority. [read post]
1 Dec 2016, 12:47 pm
The DOL supports this position by citing the October 2013 “Report on Conflicts of Interest” of the Financial Industry Regulatory Authority, which describes various circumstances in which advisers may make inappropriate recommendations intended to promote the advisers’ compensation at the expense of the investors. [read post]
31 Mar 2011, 9:12 am
As a result, I think we may see less innovation in the financial services industry than we otherwise would. [read post]
25 May 2020, 9:03 pm
Many authenticity testing methods require specialist instrumentation and skills, which can be costly for industry and local authorities and the enforcement system for food laws is split between multiple bodies, including local authorities and regulators. [read post]
5 Sep 2022, 6:16 am
The trusted contact rule was established by FINRA (The Financial Industry Regulatory Authority) in 2018 to help combat the burgeoning incidence of financial abuse. [read post]
7 Oct 2021, 9:03 pm
Chopra is expected to tighten restrictions on the financial industry by scrutinizing credit reporting companies, payday lenders, and financial technology startups. [read post]
3 Feb 2022, 9:03 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
2 Jun 2010, 8:52 am
This requirement is specified in Notices of Members published by the Financial Industry Regulatory Authority (“FINRA”), which is responsible for policing broker sales practices. [read post]
20 Jun 2018, 5:51 am
Maughan entered the securities industry in 1986 and has been registered with GMS Group since 2004. [read post]
20 Mar 2022, 12:56 pm
The text has only been lightly edited to respect the author’s voice. [read post]
17 Apr 2017, 1:26 pm
This is particularly intriguing for the possibilities (and challenges) it may offer through regimes that are based on the privatization of law and the transfer of regulatory hard(er) authority (through contract) in lending institutions. [read post]
3 Jun 2012, 9:30 pm
According to a new study, an important dichotomy exists between voluntary programs run by state regulatory agencies and similar programs run at the federal level in the United States. [read post]
29 Sep 2022, 9:09 pm
EDITOR’S CHOICE In an essay in The Regulatory Review, Rohit Chopra, director of the Consumer Financial Protection Bureau, discussed the need for structural deterrents to large financial firms who repeatedly violate the law. [read post]
7 Nov 2023, 8:37 am
FINRA on Marking the Close FINRA (Financial Industry Regulatory Authority) strictly enforces a range of rules and obligations on its member firms to uphold the integrity of the financial industry. [read post]
12 May 2022, 8:24 am
In his opening remarks, Ranking Member Tillis recognized the tremendous consumer choice available today as the financial services industry has developed new products. [read post]
30 May 2022, 9:04 pm
Products and services such as BDCI are precisely the type of activity necessary to begin repairing deeply embedded racial inequities, and CDFIs are currently leading the financial services industry to demonstrate the value and impact of such programs. [read post]
