Search for: "Financial Industry Regulatory Authority"
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25 Sep 2019, 6:02 am
The agency also has oversight of self-regulatory organizations (SROs) such as the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB) and the Public Company Accounting Oversight Board (PCAOB). [read post]
21 Jul 2008, 3:05 pm
The NYSE Euronext's regulatory arm and the Financial Industry Regulatory Authority are also working together to find out about the compliance polices of certain large securities firms related to rumors and false information. [read post]
9 Apr 2014, 2:55 pm
If your broker dealer sold you an investment that was not suitable, they can be held liable for your financial losses in a claim with the Financial Industry Regulatory Authority (FINRA). [read post]
18 Apr 2012, 5:00 am
Sources: Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies (.pdf) 77 FR 21637 Do You Want to be Systemically Important? [read post]
11 Dec 2018, 7:22 am
He was barred by the Financial Industry Regulatory Authority (FINRA) in April after he refused to testify in the self-regulatory authority’s probe into the fraud and misappropriation allegations against him. [read post]
16 Sep 2019, 6:18 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints allege that Hyer engaged in unsuitable sales of alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and equipment leasing programs. [read post]
19 May 2022, 11:13 am
Fortunately, the Financial Industry Regulatory Authority (FINRA) provides for an arbitration forum for investors to resolve disputes if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment. [read post]
2 Dec 2011, 10:34 am
Overall, then, this is the two-sided financial squeeze the health insurance industry is confronting under ACA. [read post]
8 May 2010, 8:22 am
Many have filed arbitration claims with the Financial Industry Regulatory Authority (FINRA), accusing their broker/dealer of misrepresenting private placements in companies like Medical Capital as safe and secure. [read post]
26 Oct 2017, 6:00 am
An exemption means that a provision of the ESA does not apply to that occupation or industry. [read post]
19 Oct 2010, 1:11 am
Jeff and a co-author have a pretty interesting paper suggesting that the financial service industry should pre-fund a one trillion dollar stabilization kitty for just these types of emergencies. [read post]
10 Feb 2011, 3:05 pm
So, industry participants should clearly be investing time and focus in the coming months to ensuring that their policies, procedures and the terms of their agreements meet existing federal and State statutory and regulatory requirements. [read post]
18 Mar 2020, 5:00 am
They range across financial regulatory agencies, the Department of Health and Human Services, the Federal Trade Commission and other sector-specific regulatory agencies. [read post]
20 Dec 2011, 1:50 pm
I have attempted to change this trend by teaching risk management in my course on "Financial Crimes and Corporate Compliance". [read post]
1 Nov 2023, 2:40 pm
Firms undertaking those regulated activities by way of business and where services are being provided in or to the U.K. will need to be authorised by the Financial Conduct Authority (FCA) under Part 4A of the Financial Services and Markets Act (FSMA). [read post]
28 Jun 2017, 7:48 am
A pragmatic timetable is key to achieving this, given the major regulatory changes already in the pipeline and the preparations for Brexit. [read post]
24 Aug 2014, 10:02 pm
The author misses few opportunities to impugn the integrity of the organic label, or USDA oversight, while simultaneously defending biotechnology and the industrial agriculture system that organics seeks to replace. [read post]
7 May 2019, 6:00 am
Regulatory landscape The Canadian government has been committed to providing significant monetary support to the AI industry. [read post]
22 Jan 2016, 8:06 am
FINRA, the Financial Industry Regulatory Authority, Wall Street's self-regulator, recently drafted its own rule to permit firms to put temporary holds on suspicious account disbursements. [read post]
3 Dec 2020, 8:40 am
It’s worth pointing out that the Notice of Proposed Rulemaking for the $250 threshold was given just a 30-day response period, when normally the industry would be granted 60 or 90 days. [read post]
