Search for: "Financial Industry Regulatory Authority"
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3 Jul 2019, 7:00 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments and ban flawed investment products. [read post]
28 Nov 2017, 10:06 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]
30 Nov 2009, 9:41 am
You may have a viable claim for recovery of your investment losses by filing an individual securities arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
31 Jul 2012, 9:00 pm
The SEC is recommending that the Commission, Congress, and market participants, including MSRB, look at implementing a combination of industry, legislative, and regulatory initiatives to improve not just the market but also investor protections. [read post]
22 Feb 2024, 10:19 am
It found that thousands of customers are being de-banked or having facilities refused every month, often due to financial, regulatory and reputational pressures facing banks. [read post]
3 Jan 2019, 9:01 am
From a business standpoint, Aetna’s SIU has proven to be financially prudent. [read post]
29 Oct 2008, 3:19 am
The free lunch seminar invitations usually indicate that seniors who attend will be fed a free, expensive lunch while they listen to information about how to invest and manage their money during retirement.The Financial Industry Regulatory Authority and federal and state securities regulators, however, say that these lunches are actually sales presentations, which consist of 50% "misleading" or "exaggerated" advertising claims and 25%… [read post]
14 Sep 2020, 6:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), one of Appelbaum’s customer complaints likely involves the sale of structured products. [read post]
22 Jun 2020, 6:48 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Davidson’s customer complaints alleges that Davidson recommended unsuitable investments in various investments such structured products and corporate debt among other allegations of misconduct relating to the handling of their accounts. [read post]
18 Jan 2024, 1:30 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
17 Mar 2016, 8:49 am
That backlash has been particularly severe as a result of the lack of downside or hedge protection sought by financial advisors who fell in love with energy and thought oil especially would forever be scarce - the fracking boom turned that old assumption on its head.Wave of Lawsuits over Investment Losses in Energy SectorThe Financial Industry Regulatory Authority which oversees the financial industry has noted a significant wave of new… [read post]
19 Mar 2024, 9:05 pm
Most states grant their municipalities the authority to regulate land use through zoning laws. [read post]
13 Feb 2023, 10:27 am
The Financial Industry Regulatory Authority (FINRA), overseen by the SEC, provides regulatory services to the financial industry by licensing and regulating broker-dealers. [read post]
13 Sep 2011, 9:46 am
The author, Christopher R. [read post]
12 Mar 2024, 9:05 pm
That is why some other regulated industries are beginning to advocate for the preservation of some of the regulatory system. [read post]
12 Apr 2023, 12:00 am
Finfluencers who work for a regulated financial company or are hired by such a company for social media content can be punished for errant social media conduct by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), or the Federal Trade Commission (FTC). [read post]
4 Mar 2021, 5:01 am
The authorities include the ability not only to provide economic incentives but also to procure and install equipment in private industrial facilities to achieve the necessary production goals. [read post]
14 Feb 2017, 2:37 pm
Next, we have New Nuclear from Hogan Lovells, a blog following the legal and regulatory developments shaping the future of advanced nuclear reactor industry. [read post]
27 Sep 2007, 1:20 pm
And, so, we offer for your enjoyment the definition of MAE in the SLM agreement:"Material Adverse Effect" means a material adverse effect on the financial condition, business, or results of operations of the Company and its Subsidiaries, taken as a whole, except to the extent any such effect results from: (a) changes in GAAP or changes in regulatory accounting requirements applicable to any industry in which the Company or any of its Subsidiaries… [read post]
20 Jul 2021, 12:40 pm
Not to be outdone, on June 30 the New York Department of Financial Services (DFS) issued an Industry Letter on ransomware to its regulated entities with ransomware prevention steps and guidance on when entities “should” report ransomware attacks to DFS. [read post]
