Search for: "Financial Industry Regulatory Authority"
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7 Oct 2019, 2:33 am
According to the Financial Industry Regulatory Authority, Fineman has been the broker of record for at least four (4) customer disputes. [read post]
31 Aug 2016, 9:30 pm
Despite the differing opinions on Kashkari’s call for immediate bold action, all agree that the number of agencies overseeing the U.S. financial industry can slow the regulatory process – as it has with the implementation of Dodd-Frank. [read post]
20 Jan 2011, 10:19 am
” The SEC has recommended that Congress consider the following three approaches to strengthen the SEC’s investment adviser examination program: (i) authorize the SEC to charge SEC-registered investment advisers “user fees,” which would be used to fund the investment adviser examination program; (ii) authorize one or more SROs to examine, subject to SEC supervision, all SEC-registered investment advisers; or (iii) authorize the… [read post]
19 Mar 2014, 1:14 pm
Gould On March 10, 2014, Financial Industry Regulatory Authority, Inc. [read post]
3 Oct 2019, 6:37 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Poosch’s customer complaints concern allegations of unauthorized trading and misrepresentations among other claims. [read post]
6 Jan 2021, 5:01 am
The China Securities Regulatory Commission also appears to be concerned that Ant holds too much sway over the domestic financial technology industry, in which the company has invested more than $17 billion. [read post]
8 Feb 2017, 2:00 pm
Cyber risk affects businesses of every size and industry. [read post]
8 Feb 2017, 2:00 pm
Cyber risk affects businesses of every size and industry. [read post]
15 May 2019, 7:21 pm
In this sense, surveillance has become the new regulatory mechanism. [read post]
19 Sep 2016, 1:00 pm
The Consumer Financial Protection Bureau has issued yet another suite of regulatory changes related to mortgage servicing. [read post]
31 Mar 2023, 8:40 am
Conflicting Appeals Court Decisions Add Nuance to a CFPB Supreme Court CaseDigital Transactions News – March 24, 2023 With a federal appeals court ruling on Thursday upholding the Consumer Financial Protection Bureau’s constitutionality, the CFPB, along with its severest critics, find themselves at a crossroads at a time when the agency has become significantly more energetic in overseeing the payments industry. [read post]
Anti-money Laundering — Evolving UK Landscape, Opinions on US Law Firm AML Rules, Ethics & Standards
8 Jun 2023, 7:02 am
The term “due diligence” carries with it known industry usage and standards, particularly in the context of the BSA. [read post]
26 Jul 2010, 10:23 am
According to the Financial Industry Regulatory Authority’s BrokerCheck, New England Securities paid a $500,000 fine in connection to that very issue in March 2009. [read post]
20 Jun 2017, 7:31 am
Recent Investigation According to an SEC filing in March, Aegis Capital Corp., is being investigated by three regulatory agencies, including the SEC, The Financial Industry Regulatory Authority Inc., the Securities and Exchange Commission and the Treasury Department’s Financial Crimes Enforcement Network, (FINCEN). [read post]
25 Aug 2010, 9:11 am
These leveraged ETFs include but are not limited to the following ProShares Funds in which investors have suffered substantial losses: o ProShares UltraShort Russell MValue ETF (SJL) o ProShares UltraShort Russell 2000 (SKK) o ProShares UltraShort Real Estate ETF (SRS) o ProShares Ultra Financials ETF (UYG) o ProShares UltraShort Dow 30 ETF (DXD) o ProShares UltraShort Financials ETF (SKF) o ProShares UltraShort FTSE/Xinhua 25 ETF (FXP) o ProShares UltraShort Gold ETF… [read post]
29 Sep 2023, 10:20 pm
The post Freedom and Fairness in the Gig Economy first appeared on The Regulatory Review. [read post]
4 Aug 2010, 6:17 am
And, for those of you into graphics:, here's the presentation, from our same faithful authors, of the implementation timelines. [read post]
5 Nov 2017, 7:32 am
The Financial Industry Regulatory Authority (FINRA) also barred Bahgat from the securities industry after he failed to respond to a request for information in January. [read post]
3 Aug 2015, 2:27 pm
The Financial Industry Regulatory Authority barred Chun from working in the industry last August. [read post]
1 May 2013, 7:11 am
Schwab should honor its customers’ rights and end its shameful fight against the Financial Industry Regulatory Authority." [read post]
