Search for: "Financial Industry Regulatory Authority"
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2 Dec 2011, 5:00 am
For Wall Street Watchdog, All Grunt Work, Little Glory by Ben Protess in DealBook In an office park 20 miles outside Washington, the Financial Industry Regulatory Authority, Wall Street’s nonprofit self-regulator, has quietly built a small army of market police. [read post]
3 Mar 2010, 4:25 pm
Financial advisors or stockbrokers who sell private placements are subject to the rules and standards promulgated by the Financial Industry Regulatory Authority (FINRA). [read post]
12 Aug 2010, 11:53 am
In a report issued today by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association ("NSAA"), the three agencies outlined the steps that financial services firms should take in order to improve their policies and procedures when working with senior investors. [read post]
3 May 2012, 4:58 pm
" Neota Logic applications deliver "legal and regulatory guidance to business people when and where they need it—while business is being done, 24/7, anywhere. [read post]
27 May 2018, 10:30 pm
Worse, the financial services industry is generally at or near the top of lists of those industries that suffer the most cyber-attacks. [read post]
14 Sep 2022, 7:31 am
According to his FINRA Broker report, Bailey was reportedly affiliated with the following firms, among others during his career in the securities industry: 02/27/2009 – 07/16/2020, LPL FINANCIAL LLC (CRD#:6413), WORCESTER, MA, 02/01/2006 – 02/27/2009, LINCOLN FINANCIAL SECURITIES CORPORATION (CRD#:3870), WORCESTER, MA The Financial Industry Regulatory Authority (FINRA) reportedly barred Couture in… [read post]
20 Nov 2020, 8:34 am
” The subject matter of a FINRA investigation or inquiry can include almost anything relating to the brokerage industry or the financial advisor’s activities. [read post]
12 Feb 2015, 12:46 pm
Despite the significant number of cyber attacks and recent regulatory focus, it appears that the securities industry has not widely adopted cyber insurance. [read post]
29 Jan 2013, 6:18 pm
“CIRM should establish a single Scientific Advisory Board comprising individuals with expertise in the scientific, clinical, ethical, industry, and regulatory aspects of stem cell biology and cell-based therapies. [read post]
16 Sep 2009, 11:26 am
She serves on arbitration rosters administered by the Federal Mediation and Conciliation Service, the American Arbitration Association and the Financial Industry Regulatory Authority. [read post]
15 Apr 2012, 5:51 pm
Colona noted five factors working against the full implementation of the law: (1) the CFTC and SEC are far behind schedule; (2) the regulatory authority under the Act is shared by too many entities; (3) recent comments from the Federal Reserve Bank suggest that the Volcker Rule may not become law because of its impossibility to implement; (4) the financial services industry has unleashed a full-scale effort to defeat the full implementation of the Act; and (5)… [read post]
31 Mar 2018, 10:46 am
The Securities and Exchange Commission (SEC) has alleged, that, in 2013 and 2014, Caldwell, and Gregory Alan Smith, a financial planner whom the Financial Industry Regulatory Authority (FINRA) barred from the industry in 2010, targeted vulnerable and elderly investors into purchasing the bonds. [read post]
28 Feb 2018, 9:55 am
Hartman’s BrokerCheck report with the Financial Industry Regulatory Authority (FINRA), Barry Hartman was previously registered with The Prudential Insurance Company of America in Newark, New Jersey from June 1985 until December 1993, Pruco Securities Corp in Newark from June 1985 until November 2000, Raymond James in St. [read post]
18 Jun 2012, 8:08 am
It is a violation of the Financial Industry Regulatory Authority (FINRA) rules, in particular rule 3270 and 3040. [read post]
14 Feb 2019, 11:17 am
Not only did Buck previously plead guilty 13 months ago but the Securities and Exchange Commission and the Financial Industry Regulatory Authority also barred him permanently from the securities industry. [read post]
27 May 2020, 7:48 am
Botner had been in the securities industry since 2006. [read post]
22 Jun 2022, 5:11 am
Most notably, he indicated that the CFPB “is reviewing other authorities authorized by Congress that have gone unused. [read post]
31 Mar 2022, 12:17 pm
This analysis bears on the presence of discrimination in the current life insurance industry as well as related issues like the financial status of minority households. [read post]
7 Jul 2023, 2:13 pm
Efforts to combat healthcare fraud in Texas require collaboration among individuals, healthcare providers, law enforcement agencies, and regulatory bodies. [read post]
29 Feb 2008, 8:41 am
Although the Securities Industry and Financial Markets Association (SIFMA) and the Financial Industry Regulatory Authority Inc. [read post]
