Search for: "Financial Industry Regulatory Authority"
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7 Jun 2010, 10:00 am
Principal-protected notes are another investment being pushed on the elderly, says John Gannon of the Financial Industry Regulatory Authority in Washington. [read post]
18 Sep 2011, 4:29 pm
The deregulation of the banking industry, which had begun under President Carter and been completed during Clinton’s second term, coupled with extraordinarily lax regulation of the nonbank banks (such as Goldman Sachs, Merrill Lynch, and Lehman Brothers) by the Securities and Exchange Commission (which had the principal regulatory authority over the nonbank banks) under the last chairman appointed by Bush, lax regulation of insurance companies (such as AIG) by state… [read post]
30 Sep 2022, 9:06 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Goodbred from working in the securities industry on February 16, 2021 after he allegedly refused to provide information in FINRA’s investigation regarding his alleged dismissal from LPL. [read post]
12 Oct 2022, 9:05 pm
Rather, they argue that financial support from public sources, such as the National Institutes of Health (NIH), is far more critical to innovation than are drug manufacturers. [read post]
29 Oct 2021, 9:01 am
Following a two-year review, the Reserve Bank of Australia said on Friday it was now engaging with Treasury on “regulatory approaches” to enforce its decision – a move fiercely opposed by the industry. [read post]
29 Oct 2021, 9:01 am
Following a two-year review, the Reserve Bank of Australia said on Friday it was now engaging with Treasury on “regulatory approaches” to enforce its decision – a move fiercely opposed by the industry. [read post]
24 Jun 2011, 8:15 am
Between May 2010 and May 2011, a total of 336 broker/dealers notified the Financial Industry Regulatory Authority (FINRA) that they were closing their doors for business. [read post]
19 Jun 2017, 7:30 am
(B) REQUESTS FROM BANKING AND FINANCIAL SERVICES COMMITTEES. [read post]
26 Jan 2009, 5:15 am
It is frankly time to take away from a small state with a financial incentive the authority to determine the standards for executive compensation. [read post]
16 Oct 2015, 9:24 am
Such a split would simply uphold a federal appeals court decision against FERC, depriving that agency of a major part of the authority it has used to regulate the wholesale electricity market in the modern format that industry has adopted. [read post]
15 Oct 2009, 1:15 pm
Today's bill, which was approved by a vote of 43-26, represents a key part of a broader effort by Congress and President Obama to modernize America's financial regulatory system in response to last year's financial crisis. [read post]
31 Jan 2008, 12:35 pm
BackgroundSovereign wealth fund (SWF) is a fund owned by a state composed of financial assets such as stocks, bonds, property or other financial instruments.Sovereign wealth funds are, broadly defined, entities that can manage the national savings for the purposes of investment.The accumulated funds may have their origin in, or may represent foreign currency deposits, gold, SDRs and IMF reserve position held by central banks and monetary authorities, along with other… [read post]
22 Feb 2016, 4:30 am
Understanding Beijing’s Approach to ICT and Cybersecurity Policy Currently, the Chinese government—not unlike US authorities—is in the process of developing a legal and regulatory regime to catch up with the growth of new technologies, particularly in the internet and information communications technology (ICT) sectors. [read post]
15 Jun 2011, 8:37 pm
ST later Financial Industry Regulatory Authority arbitration claim against Credit Suisse. [read post]
15 Mar 2018, 7:11 am
The Financial Industry Regulatory Authority (FINRA) website says that Diaz was registered with First Allied Securities from June 2005 until April 2009. [read post]
24 Jun 2020, 8:49 am
Filing a Complaint Against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
6 Apr 2018, 6:39 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]
14 Oct 2020, 5:55 am
But, as noted by the Financial Industry Regulatory Authority (FINRA), “crisis-related scams are nothing new. [read post]
12 Dec 2023, 1:05 pm
His broker record indicates that the Financial Industry Regulatory Authority (FINRA) barred Corsaro from working as a broker in February 2022. [read post]
11 Feb 2019, 6:37 am
Pandya, chief financial officer. [read post]
