Search for: "Financial Industry Regulatory Authority"
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8 Nov 2016, 11:53 pm
Antitrust enforcement authorities reportedly have been investigating the generic drug industry for at least two years, but last week, there were several news reports that the authorities are nearing filing criminal charges for price-collusion in the generic-drug industry, with charges expected to be filed before year end. [read post]
24 Jul 2011, 10:56 am
For example, while it is clear that the CFPB does not have the authority to regulate insurance, it could put forth a regulation that actually negatively impacts the industry and the economy, noted Rep. [read post]
11 Apr 2023, 10:44 am
HB 571 would make comprehensive changes to the CCS statutes, including notice provisions to local authorities, allocation of funds to local authorities, and increased financial and regulatory requirements on operators. [read post]
6 Dec 2011, 5:59 am
Taking the lawyers out of finance or blunting their authority by turning them into preachers will not get the results Franke hopes for. [read post]
23 Jul 2010, 12:05 pm
Finally, the report summarizes the proposed legislative and regulatory responses to the debate and predicts their future. [read post]
11 Jul 2019, 11:49 am
(The Dodd-Frank Act transferred authority to implement the EFTA from the Board to the Bureau.) [read post]
1 Jun 2012, 5:04 am
The case arose after North American’s revenues declined during 2007 and 2008 and a March 2008 audit by the Financial Industry Regulatory Authority (FINRA) revealed irregularities in North American’s calculation of its reserves. [read post]
22 Jan 2012, 9:02 pm
The Consumer Financial Protection Bureau’s bailiwick includes the authority to write rules that would further the purposes of the Fair Credit Reporting Act. [read post]
27 Nov 2017, 10:13 am
FINRA Censures and Fines UBS According to the Financial Industry Regulatory Authority (FINRA), UBS allegedly failed to implement a reasonably designed system to identify and prevent unsuitable transactions in light of the unique economy of the territory. [read post]
21 May 2018, 12:08 pm
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]
7 Aug 2020, 10:45 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]
27 Nov 2017, 10:31 am
According to the Financial Industry Regulatory Authority (FINRA), UBS allegedly failed to implement a reasonably designed system to identify and prevent unsuitable transactions in light of the unique economy of the territory. [read post]
27 Nov 2017, 11:49 am
According to the Financial Industry Regulatory Authority (FINRA), UBS allegedly failed to implement a reasonably designed system to identify and prevent unsuitable transactions in light of the unique economy of the territory. [read post]
25 Jul 2018, 12:52 pm
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
27 Nov 2017, 9:59 am
FINRA Censures and Fines UBS According to the Financial Industry Regulatory Authority (FINRA), UBS allegedly failed to implement a reasonably designed system to identify and prevent unsuitable transactions in light of the unique economy of the territory. [read post]
24 May 2021, 7:22 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]
27 Nov 2017, 11:20 am
According to the Financial Industry Regulatory Authority (FINRA), UBS allegedly failed to implement a reasonably designed system to identify and prevent unsuitable transactions in light of the unique economy of the territory. [read post]
31 Mar 2017, 6:34 am
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]
29 Jun 2020, 1:11 pm
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]
27 Nov 2017, 9:49 am
FINRA Censures and Fines UBS-PR According to the Financial Industry Regulatory Authority (FINRA), UBS allegedly failed to implement a reasonably designed system to identify and prevent unsuitable transactions in light of the unique economy of the territory. [read post]
