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24 Jun 2014, 11:36 am
This most recent complaint is just one of many that have been filed regarding these bond funds, as more than 200 arbitration claims have been filed with the Financial Industry Regulatory Authority (FINRA). [read post]
27 Jan 2014, 10:53 am
The Financial Industry Regulatory Authority (FINRA) underlines that in a down market, the securities that are used as collateral also tend to decline in value. [read post]
5 Aug 2009, 12:42 pm
While I don't know if this is a dealbreaker, it is an interesting exercise in how laws get made by looking to the old models ... something that would be rationalizers of our financial regulatory system are realizing to their chagrin. [read post]
3 Nov 2022, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
24 Sep 2008, 4:37 pm
Closure financial responsibility- Total project closeout including closure of the well in accordance with regulatory requirements were estimated at $75,000 to $100,000. [read post]
19 Jul 2023, 7:51 am
This may involve filing a complaint with the appropriate resolution agency such as the Financial Industry Regulatory Authority (FINRA) or seeking legal representation to hold your broker accountable for their actions. [read post]
2 Aug 2007, 11:13 am
The new SRO, under the title FINRA, Financial Industry Regulatory Authority, brings together all of NASD and NYSE enforcement functions, including customer arbitration. [read post]
14 Dec 2017, 9:26 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]
24 Jan 2012, 2:00 am
The two trades groups are the Securities Industry and Financial Markets Association and the International Swaps and Derivatives Association, both deemed influential organizations. [read post]
10 Jul 2017, 9:27 pm
The financial services industry seems to be circling the wagons for a last ditch defense of arbitration. [read post]
14 Jul 2010, 8:37 am
” The Financial Industry Regulatory Authority (FINRA), which is supposed to enforce “high standards of commercial honor and just and equitable principles of trade,” said it was examining the sales practices of brokers that sold the debentures, but FINRA’s description of its examination sounded more like a diversion into back-office arcanery, such as whether trades were reported within a certain timeframe, rather than brokers’… [read post]
17 Jul 2024, 10:44 am
Any views or opinions expressed herein are those of the author and are not necessarily the views of any client. [read post]
10 Apr 2021, 5:26 am
Both are member firms of the Financial Industry Regulatory Authority (FINRA). [read post]
10 Apr 2021, 5:26 am
Both are member firms of the Financial Industry Regulatory Authority (FINRA). [read post]
5 Jul 2016, 9:30 pm
Regulations are supposed to ensure that our drinking water is potable, our workplaces are safe, and our financial transactions are secure. [read post]
4 Feb 2013, 7:08 pm
Other changes were in the chapters relating to Employment and Industrial Relations. [read post]
6 Feb 2012, 8:04 am
The CFPB has indicated that it wants to provide “lenders and settlement agents with a document that is easy to use and reduces unneeded regulatory burden,” so industry suggestions will also play a role in shaping the next proposed form. [read post]
23 Oct 2012, 8:08 am
Now, I’m concerned when any public official, especially one in charge of regulation of a particular industry or area of law seems to favor particular stakeholders in that very industry. [read post]
23 Oct 2012, 8:08 am
Now, I’m concerned when any public official, especially one in charge of regulation of a particular industry or area of law seems to favor particular stakeholders in that very industry. [read post]
13 May 2020, 11:22 am
Due to the increase in sales of these investment arrangements, The Financial Industry Regulatory Authority’s (FINRA), the industry’s self-regulatory watchdog, issued an “Investor Alert” entitled “Securities-Backed Lines of Credit – It May Pay to See Beyond the Pitch. [read post]
