Search for: "Financial Industry Regulatory Authority"
Results 7121 - 7140
of 11,238
Sorted by Relevance
|
Sort by Date
8 Jun 2023, 9:05 pm
The new regulatory actions, if adopted, would cover a large portion of the U.S. economy, affecting banks, airlines, hotels, online ticket vendors, cable, phone, and internet providers—if not all industries entirely. [read post]
28 Aug 2009, 2:50 pm
In his USA Today article entitled "Leveraged funds earn warning alert," John Waggonner reports that the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission have also issued special alerts about leveraged ETFs. [read post]
13 Jan 2020, 2:12 pm
Court of Appeals for the District of Columbia Circuit found the SEC’s Financial Industry Regulatory Authority (FINRA) Rule 2030 constitutional. [read post]
6 Jul 2012, 12:09 pm
This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority (FINRA) has just launched a pilot program specifically designed for large arbitration cases involving claims of $10 million or more, though it can be used in any case, regardless of size. [read post]
20 Jun 2019, 12:36 pm
Court of Appeals for the District of Columbia Circuit found the SEC’s Financial Industry Regulatory Authority (FINRA) Rule 2030 constitutional. [read post]
26 Sep 2017, 8:45 am
Securities industry watchdog, FINRA (Financial Industry Regulatory Authority) recently released data on its effort to increase diversity among its arbitrators. [read post]
20 Oct 2009, 8:05 am
According to the article, Financial Industry Regulatory Authority ("FINRA") says Schwab has lost 70% of the YieldPlus arbitration claims filed against it. [read post]
15 Oct 2021, 9:17 am
The Payment Systems Regulator has overseen the sector since 2015, while the Financial Conduct Authority is responsible for the day-to-day supervision of payment services and e-money firms. . . . [read post]
15 Oct 2021, 9:17 am
The Payment Systems Regulator has overseen the sector since 2015, while the Financial Conduct Authority is responsible for the day-to-day supervision of payment services and e-money firms. . . . [read post]
1 May 2024, 6:47 am
” “FINRA orders Barclays unit to pay $700K over conflicts of interest” — “A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades. [read post]
21 Oct 2021, 9:16 am
The Financial Industry Regulatory Authority (FINRA) can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
13 Apr 2017, 9:24 am
CFP Board’s Complaint alleged, among other things, that Eric Kuchel was the subject of a Default Decision from the Financial Industry Regulatory Authority, Inc. [read post]
27 Mar 2017, 8:57 am
Several fintech industry groups have commented in favor of the OCC’s proposed charter. [read post]
12 Feb 2020, 10:00 am
In 2010, on the heels of the Great Recession, Congress created the Consumer Financial Protection Bureau to address the “serious structural flaws” of the financial regulatory system then in place to protect consumers, “including a lack of focus resulting from conflicting regulatory missions, fragmentation, and regulatory arbitrage. [read post]
4 Jun 2019, 10:56 am
These regulatory changes were announced on April 17, 2019 and include restrictions on non-family travel to Cuba. [read post]
4 Jun 2019, 10:56 am
These regulatory changes were announced on April 17, 2019 and include restrictions on non-family travel to Cuba. [read post]
14 Feb 2016, 1:32 pm
"as a matter of statutory construction, the definition of 'covered business method patent' is not limited to products and services of only the financial industry, or to patents owned by or directly affecting activities of financial institutions. [read post]
18 Aug 2016, 9:52 am
This week, the author of A.B. 1326, Assemblymember Matt Dababneh withdrew the bill from consideration, saying in a statement: Unfortunately, the current bill in print does not meet the objectives to create a lasting regulatory framework that protects consumers and allows this industry to thrive in our state. [read post]
24 Aug 2020, 4:00 am
Jeffrey Scott Nimmow of Merrimac, Wisconsin submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly engaging in unapproved private transactions and for not possessing the proper registration in violation of NASD Rule 1031 and FINRA Rules 3280 and 2010. [read post]
14 Aug 2020, 4:00 am
Ross, Sinclaire & Associated in Cincinnati, Ohio submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which they were censured and fined $200,000 for allegedly failing to disclose information in violation of FINRA Rule 2010 by acting in contravention of Section 17(a)(2) of the Securities Act of 1933 (“Securities Act”). [read post]
