Search for: "Financial Industry Regulatory Authority"
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1 Feb 2011, 3:30 pm
The Financial Industry Regulatory Authority (FINRA) recently released its arbitration statistics for the month/year ended December 2010. [read post]
23 Jan 2019, 12:33 pm
The SEC requires the seller of a variable annuity to possess a Series 6 or 7 brokerage license with the Financial Industry and Regulatory Authority (FINRA). [read post]
11 May 2023, 3:00 am
Members include entrepreneurs, investors, and advisers who work with early stage private companies and smaller public companies – as well as the SEC’s Advocate for Small Business Capital Formation and three non-voting members appointed by each of the SEC’s Investor Advocate, the North American Securities Administrators Association (NASAA), and the Small Business Administration, as well as an observer appointed by the Financial Industry Regulatory… [read post]
20 Jun 2007, 6:38 am
It held that antitrust was impliedly preempted in this case because (1) the securities laws create regulatory authority to supervise the activities in question, (2) the SEC had exercised that authority, (3) allowing both antitrust law and the securities laws to apply to the conduct at issue could result in “conflicting guidance, requirements, duties, privileges, or standards of conduct,” and (4) the potentially violative conduct “l[ay]… [read post]
1 Sep 2009, 1:58 pm
Wright eventually filed a complaint against Morgan Keegan with the Financial Industry Regulatory Authority (FINRA), and in March 2009 was awarded $18,000 for the financial losses she suffered. [read post]
22 Feb 2009, 3:22 am
Signatories will work closely with infrastructure providers, regulators and European authorities including the European Central Bank in resolving outstanding technical, regulatory, legal and practical issues. [read post]
31 Mar 2019, 6:18 am
” Then it was reported that the Financial Industry Regulatory Authority Inc. [read post]
4 Sep 2020, 6:27 pm
This included negotiating an agreement with Chinese authorities on cross-border enforcement cooperation in 2013. [read post]
25 Mar 2011, 9:01 am
As for the regulatory responsibilities of the Joint Canada-Quebec Regulatory Office, it has been mandated to propose a specific collaboration agreement which is to emphasize transparency and efficiency for industry. [read post]
10 Feb 2010, 1:41 pm
Although industry bodies are usefully working to standardize transaction legal documentation, little interest is seen in taking this to the product structuring level.. [read post]
7 Feb 2011, 5:05 am
Of course, the two states share more than a regulatory philosophy and sophisticated financial laws. [read post]
21 Sep 2017, 3:00 am
The authors speculate that the difference has to do with lawyers’ risk averse nature – it’s a positive in companies that face a lot of regulatory & litigation risk, but a negative in other settings. [read post]
19 Jan 2022, 2:35 am
Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment, prior to making recommendations to an individual investor. [read post]
14 Jan 2019, 8:47 am
Unlike fiat currencies, there is no governmental authority or central bank establishing its value through law or regulation. [read post]
4 Aug 2023, 11:19 am
” Paroc’s parent company, Owens Corning, acknowledged the failed certification, stating that: “We have suspended the distribution and sales of these products and have alerted the relevant regulatory authorities. [read post]
28 Jun 2012, 9:42 am
The financial firms, professionals, and the securities they sell fall under numerous federal and state regulatory schemes – e.g., the Securities and Exchange Commission (“SEC”), and the Financial Industry Regulatory Authority (“FINRA”). [read post]
19 Aug 2022, 5:01 am
OFAC doesn’t have consumer protection interest or authority, nor does it investigate the various other “little” crimes (such as billion-dollar Ponzi schemes or industrial-scale securities fraud) that infest the cryptocurrency space. [read post]
6 May 2022, 9:14 am
The Consumer Financial Protection Bureau (CFPB) rule would allow consumers to easily share their financial data with third-parties. [read post]
4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
26 Apr 2021, 9:02 pm
The project is financially supported by the European Union and is being implemented in partnership with the Albanian Food Industry until September 2021. [read post]
