Search for: "Financial Industry Regulatory Authority"
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14 Nov 2017, 8:18 am
In another example, in May of 2016, the Financial Industry Regulatory Authority (FINRA) suspended Frank John Capuano (CRD#: 844182), a registered broker from western Massachusetts, after he was alleged to have improperly sold Woodbridge Wealth notes to investors while employed as a registered representative of Royal Alliance Associates in Holyoke, Massachusetts. [read post]
7 Oct 2021, 6:37 am
Treasury has begun discussions with financial industry executives to discuss potential regulation of stablecoins. [read post]
4 Jan 2024, 12:10 pm
Bovee allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
21 Apr 2023, 9:00 am
Regulatory agencies also have the authority to impose sanctions on nursing homes that violate regulations. [read post]
13 Apr 2020, 10:35 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
25 Mar 2020, 7:03 am
Unfortunately for investors there is no regulatory authority in the United States with the ability to analyze investments in order to ban flawed investment products. [read post]
6 Jul 2022, 3:21 am
We need proper supervision to make sure that the regulatory dialogue works. [read post]
29 Sep 2014, 8:44 am
Telecommunications and broadcast reform may garner limited political benefit, but the future success of the industries depends on it. [read post]
10 May 2023, 6:46 am
On 21 April 2023, the Financial Conduct Authority (FCA) published a consultation paper (CP23/8) (CP) on proposed rule changes to address issues identified within the multi-occupancy building insurance market which are leading to poor outcomes for leaseholders. [read post]
19 Sep 2019, 10:13 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]
17 Oct 2013, 8:41 am
Securities and) Exchange Commission, que es un foro que se llama Finra (Financial Industry Regulatory Authority). [read post]
9 Sep 2022, 8:12 am
CFP Board was reportedly investigating Whited after the Financial Industry Regulatory Authority (FINRA) reportedly barred him from associating with any FINRA member at any time on November 15, 2021. [read post]
24 Jun 2020, 10:52 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]
16 Aug 2023, 4:35 am
“Whether dubbed ‘the major questions doctrine’ or basic preservation of the separation of powers, Congress has not conferred on the SEC wholesale regulatory power over this industry, and accepting the SEC’s theory encroaches on Congress’s legislative role. [read post]
23 Apr 2023, 6:59 am
Both agencies have the authority to issue Second Requests and take legal action to block or modify transactions that they believe would violate antitrust laws. [read post]
13 Feb 2008, 11:39 pm
He has advised clients and served as an electronic-discovery expert in some of the nation's largest civil, regulatory and criminal matters in the financial-services, banking, energy, pharmaceutical, telecommunications, automotive and tobacco industries. [read post]
6 Nov 2017, 4:10 pm
Under this option, the Commission would map best practices and local regulatory regimes with the aim of recommending a set of non-binding minimum standards and industry best practices. [read post]
20 Dec 2011, 5:00 am
(c) a description of any and all compensation of any kind provided or agreed to be provided to a placement agent, including the nature, timing and value thereof; (d) a description of the services to be performed by the placement agent (e) a written copy of any and all agreements between the manager and the placement agent (f) in the event that any current or former Massachusetts public pension system board members, employees, consultants or other service providers have suggested… [read post]
9 Oct 2007, 3:32 pm
This action was one of the final acts by the regulatory staff of the NYSE prior joining the Financial Industry Regulatory Authority (FINRA) which has taken over all former NASD and NYSE regulatory responsibilities. [read post]
15 Jul 2021, 9:03 pm
Biden signed an executive order to fight concentration across industries in the American economy by strengthening the enforcement of antitrust laws. [read post]
