Search for: "Financial Industry Regulatory Authority"
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4 Dec 2020, 1:55 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
2 Oct 2010, 5:33 am
• Agents and other professional advisors must police their own industry. [read post]
13 Mar 2008, 10:15 pm
That industry simply must elevate its business practices. 5. [read post]
23 Jul 2020, 7:22 am
Open banking in the Latin American region has expanded for several years, but the regulators and financial authorities underpinning these initiatives have had to quickly adapt to changes brought on by the pandemic. [read post]
13 Dec 2011, 4:02 am
Earlier this month, the Insurance Regulatory and Development Authority (IRDA) issued norms for IPOs by life insurance companies. [read post]
17 Jul 2019, 10:32 am
It hopes to operate similarly to other financial regulators like the Financial Industry Regulatory Authority and the National Futures Association. [read post]
23 Apr 2012, 5:11 am
Witnesses include James Giddens, trustee of the Securities Investment Protection Act liquidation of MF Global Inc.; Louis Freeh, trustee for MF Global Holdings; Jill Sommers, commissioner of the Commodity Futures Trading Commission; Robert Cook, director of the Securities and Exchange Commission's Division of Trading and Markets; Richard Ketchum, president, chairman and CEO of the Financial Industry Regulatory Authority; and Terrence Duffy, executive chairman… [read post]
13 Apr 2010, 11:05 am
The Financial Industry Regulatory Authority is a private corporation funded by the financial industry as an independent regulator The FINRA fine against Davidson is relatively small compared to fines that have been levied against other companies for data breaches. [read post]
27 Aug 2021, 9:03 pm
Counterfeit goods also pose a risk to the financial success and innovation of honest businesses. [read post]
28 Sep 2015, 4:25 pm
Jones pre-dated the cybersecurity guidance issued to date by both OCIE and the Financial Industry Regulatory Authority (“FINRA”). [read post]
8 Feb 2018, 4:23 pm
In October of 2017, the Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo to pay $3.4 million in restitution to investors relating to unsuitable recommendations of volatility-linked ETPs. [read post]
17 Oct 2023, 9:33 pm
In contrast with the VALID Act, the VITAL Act would have prevented FDA from regulating LDTs and would have instead assigned regulatory authority over LDTs entirely to CMS. [read post]
23 Mar 2007, 1:32 am
Here is the abstract:The UK securities regulator, the Financial Services Authority, claims that its "principles-based" approach to securities regulation is simply "better" than what it characterizes as the prescriptive, rules-based American approach. [read post]
23 Apr 2009, 4:20 am
Scientific-Atlanta, Inc., issued in January 2008.[5] Recent events illustrate that the existing laws relating to corporate governance as well as regulatory scheme cannot achieve the goals for which they were created. [read post]
22 Aug 2012, 10:03 pm
Investors can still recover losses through Financial Industry Regulatory Authority arbitration. [read post]
9 Aug 2012, 9:53 pm
Beginning May 1, 2007, Mewbourne Energy Partners has offered the public private placements, which certain Financial Industry Regulatory Authority registered broker-dealers then offered and sold, in order for Mewbourne to raise capital. [read post]
11 Feb 2019, 5:37 am
In her essay, Professor Iannarone discusses the public availability of arbitration decisions arising out of the Financial Industry Regulatory Authority (“FINRA”) forum. [read post]
8 Jun 2020, 11:10 am
The Financial Industry Regulatory Authority (“FINRA”) has conducted investigations and taken regulatory action in the past to address misconduct in the marketing and sale of these investments. [read post]
21 Jul 2014, 4:40 am
Regulators everywhere, under pressure from the recent global financial crisis as well as because of the periodic outbreak of massive scandals like Satyam, increasingly are taking a more aggressive approach and increasingly are seeking to use regulatory tools to enforce their own laws and to impose penalties. [read post]
5 Jul 2018, 7:01 am
Brooks, and, because it did, may be liable for investment losses on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA) arbitration forum. [read post]
