Search for: "Financial Industry Regulatory Authority"
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12 Jun 2015, 6:47 am
Skepticism about regulatory revisions. [read post]
12 Jul 2018, 8:53 am
Digital Asset Matters We see many thought-provoking items in the digital asset sector as the industry moves towards greater institutional infrastructure. [read post]
21 Sep 2023, 7:57 am
Private Securities Transactions (Selling Away) FINRA (Financial Industry Regulatory Authority) has specific rules and regulations regarding private securities transactions, often referred to as “selling away. [read post]
31 Jan 2024, 12:50 pm
FINRA BrokerCheck is a tool provided by the Financial Industry Regulatory Authority (FINRA) that allows investors to research and check the background of brokers, brokerage firms, and investment advisors. [read post]
18 Aug 2015, 11:46 am
As the authors also observed: “For various reasons, including California’s consistently poor business rankings (generally attributed to high regulatory hurdles, CEQA litigation uncertainty, and other tactics), the post-recession resurgence of middle-class manufacturing jobs in the United States has largely bypassed California. [read post]
24 Feb 2016, 7:01 am
Regulatory pressure: About a quarter of the respondents expect to see asset sales in the financial services industry due to regulatory pressures. [read post]
CFTC and SEC May Need to Work Out Key Differences Related to Over-the-Counter Derivatives Rulemaking
31 Jan 2012, 5:48 pm
Meantime, the SEC will continue to depend on its antifraud authority, per federal securities law. [read post]
14 Sep 2022, 12:32 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Kintz’s customer complaint alleges that Kintz recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts. [read post]
12 Dec 2023, 9:55 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Komarow from the brokerage industry in June after its investigation into allegations that he “processed ACH instructions for his own account knowing there were insufficient funds, then improperly used credit to place trades, resulting in negative balance. [read post]
4 Jan 2012, 1:22 pm
His job will be to protect families like yours from the abuses of the financial industry. [read post]
11 Jul 2024, 3:20 pm
Given its industry altering impact, the recent ruling from the U.S. [read post]
17 Jul 2014, 1:24 am
The Division of Industrial Relations, a sub-agency of the Dept. of Business and Industry was given regulatory authority over the SIIS and self-insured employers. [read post]
22 Jul 2012, 9:49 pm
Non-traded REITs have been increasingly scrutinized by the Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jul 2021, 7:58 am
“FSOC must act quickly to use its statutory authority to address cryptocurrencies’ risks and regulate the market to ensure the safety and stability of consumers and our financial system,” the Massachusetts Democrat wrote in a letter to Yellen. [read post]
15 Nov 2017, 5:04 am
However, in 2009, the Financial Industry Regulatory Authority (“FINRA”) published Regulatory Notice 09-31 informing members that nontraditional ETFs were “’highly complex financial instruments’ and unsuitable for retail investors who hold them for more than one trading session, particularly in volatile markets. [read post]
15 Jul 2024, 4:48 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
29 Aug 2015, 3:36 am
This impact applies to a range of investigative work, such as cases involving suspected online child sexual exploitation and abuse, fraud and other financially-motivated crimes, organized crime, requests for international law enforcement assistance, and national security matters involving suspected extremism and other threats to Canada - all of which may require basic identifying information from a telecommunications or other service provider to identify potential evidence for criminal… [read post]
26 Sep 2018, 10:38 am
A single agency, however, may lack the authority and resources necessary to effectively regulate a financial sector which prides itself on decentralization. [read post]
21 Sep 2022, 11:00 am
We have previously pointed out that the implications of the proposed Rule extend beyond motor vehicle dealers and the FTC’s enforcement jurisdiction, as auto finance and leasing companies subject to the Consumer Financial Protection Bureau’s enforcement authority could potentially face UDAAP liability for dealer violations of the proposed Rule. [read post]
15 Jun 2023, 1:30 pm
” If enacted, the SEC would have 180 days to establish the exam, and 180 days after that for the Financial Industry Regulatory Authority (FINRA) to begin administering and offering the exam to the public free of charge. [read post]
