Search for: "Financial Industry Regulatory Authority"
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16 Dec 2010, 2:15 pm
First, the author’s are masters of the storytelling craft. [read post]
1 Apr 2021, 8:44 am
What’s particularly noticeable now is the apparent convergence of merchant fervor with newfound regulatory zeal. [read post]
15 Jun 2023, 1:23 pm
A Glimpse of Future Regulatory Landscape? [read post]
19 Nov 2020, 9:05 pm
Clayton’s departure gives President Trump a short window to appoint a replacement, or else President-Elect Joe Biden will have the opportunity to fill the key financial regulatory position. [read post]
5 May 2022, 12:32 pm
As we reported last year, the Financial Industry Regulatory Authority (FINRA) barred Belardino after he failed to provide information in its investigation into allegations of excessive levels of trading, among others. [read post]
4 Mar 2021, 11:47 am
Patrick Horsman’s Previous Run-Ins with Securities Regulators In 2017, Horsman consented to being sanctioned by the Financial Industry Regulatory Authority (FINRA) following an enforcement action. [read post]
30 Jul 2008, 6:45 pm
The regulator would have broad powers and the necessary corrective authorities to deal with eficiencies that pose threats to financial stability. [read post]
3 Apr 2023, 7:48 am
The rule was established by the Financial Industry Regulatory Authority (FINRA).It requires financial institutions to authenticate the personal information of every individual customer or beneficial owner of a business, include documenting their names, birthdates, and addresses. [read post]
28 Jul 2022, 9:05 pm
Critics such as the Independent Community Bankers of America have argued that the bill would not do enough to protect the financial industry from risk. [read post]
31 Mar 2023, 9:00 am
The Enforcement Division intends to focus on charging individuals for securities violations, including those who have supervisory responsibility and “gatekeeping” authority in the securities industry. [read post]
14 Jan 2020, 9:00 am
To date, industry groups BIO and PhRMA have opposed the measures, calling them potentially dangerous schemes. [read post]
2 May 2014, 3:27 pm
” During the relevant time, Seargen appears to have been a broker with a firm registered with the Financial Industry Regulatory Authority (FINRA). [read post]
9 Jan 2012, 7:32 pm
But his speech could send a shiver through the nation’s financial industry, which has looked with dread upon the new bureau with its broad regulatory authority. [read post]
9 Apr 2020, 9:00 am
As the pandemic of COVID19 spreads to every parts of the world, most recently the African continent, competition authorities are looking at whether relaxing their competition rules to allow for cooperation between key actors of the health sector and other essential economic sectors, like the airline industry. [read post]
17 Apr 2010, 12:37 pm
Maddox Hargett & Caruso P.C. continues to file arbitration claims with the Financial Industry Regulatory Authority (FINRA) on behalf of investors who suffered investment losses in Medical Capital. [read post]
6 Oct 2017, 9:14 am
In January 2017, the Financial Industry Regulatory Authority (“FINRA”), as part of its ongoing efforts to ensure the integrity of financial markets and offer protection to investors, issued certain guidance through its ‘2017 Regulatory and Examination Priorities Letter. [read post]
14 Jan 2008, 10:10 am
The letter sent by FINRA, the Financial Industry Regulatory Authority, is looking into whether brokers sold these risky investments to individuals just as the market for related products was collapsing. [read post]
12 Jan 2012, 6:28 am
These failures have ushered in a new era of shareholder activism and corporate governance initiatives, including extensive legislative reform efforts and new rules by the Securities and Exchange Commission (SEC), the New York Stock Exchange (NYSE) and the Financial Industry Regulatory Authority (FINRA). [read post]
23 Apr 2018, 9:28 am
John Jumper, according to his online BrokerCheck report with the Financial Industry Regulatory Authority (FINRA), was previously registered with Duncan-Williams, Coastal Securities, Penson Financial Services, Samco Capital Markets and Alluvion Securities in Memphis, Tennessee from September 2007 until February 2017. [read post]
16 Jan 2015, 10:50 am
Broker dealers are required by the Financial Industry Regulatory Authority (FINRA) to perform a suitability analysis to ensure the products they sell are appropriate for each investor. [read post]
