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23 Jan 2015, 6:56 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Chase Casson (Casson) alleging that Casson failed to provide documents and information to FINRA in response to demands made to investigate the broker’s activities. [read post]
23 Jan 2015, 4:56 am
Some will find good cause in what was, at best, questionable conduct -- and others may simply roll their eyes and wonder if this Good Samaritan was the victim of over-zealous compliance and regulatory staffs.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without… [read post]
23 Jan 2015, 4:55 am
Then there are questions as to whether the regulator was asleep at the switch.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, OptionsHouse LLC submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA ... [read post]
23 Jan 2015, 4:53 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Michael Vincent Borja submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
22 Jan 2015, 11:58 pm
However, all of this illegal activity has been conducted openly and with the tacit acquiescence of the PRC regulatory authorities. [read post]
22 Jan 2015, 3:55 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In an address to the Futures Industry Association in Tokyo, CFTC Chairman Timothy Massad talked about the interconnectedness of the global derivatives markets and the need for regulatory coordination on G-20 commitments. [read post]
22 Jan 2015, 2:45 pm
Broker dealers that sell these types of investments are required by the Financial Industry Regulatory Authority (FINRA) to perform adequate due diligence to ensure that the investment has a reasonable likelihood of success. [read post]
21 Jan 2015, 2:00 pm
With regard to the CFPB in particular, the Committee intends to oversee the CFPB’s regulatory, supervisory, enforcement and other activities, the effect of such activities on regulated entities and consumers, and the CFPB’s collaboration with other regulators. [read post]
20 Jan 2015, 2:03 pm
The level of regulatory scrutiny an organization receives may depend on its role in and impact on market-wide cybersecurity, meaning the bulk of security audits will probably target high-risk industries and businesses like FMIs. [read post]
20 Jan 2015, 8:11 am
Read about this recent PST settlement.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of ... [read post]
20 Jan 2015, 6:10 am
” Moving to the pending Financial Industry Regulatory Authority’s (FINRA) complaint, the regulatory alleged that Wedbush was one of the securities industry’s largest market access providers including overseas high-frequency, high-volume, algorithmic day-trading firms. [read post]
20 Jan 2015, 6:08 am
These complaints were recently capped off with an affirmation by the Financial Industry Regulatory Authority’s (FINRA) appeals body, the National Adjudicatory Council (NAC), decision imposing more than $300,000 in fines and a month-long suspension of top executives for failures in their reporting duties. [read post]
20 Jan 2015, 5:37 am
Consider the recent disciplinary settlement involving a CPA and registered person.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Elliot H. [read post]
19 Jan 2015, 12:22 pm
The amendments give the federal government authority to respond to petroleum spills and leaks, and provide a leaking underground storage tank fund to clean up leaks from petroleum storage tanks. [read post]
19 Jan 2015, 6:44 am
Harris, former Acting Secretary of Labor—now Counsel at global law firm Dentons, and a Distinguished Scholar at Cornell’s School of Industrial & Labor Relations—didn’t put much stake in the court’s decision. [read post]
16 Jan 2015, 10:59 am
Brokers are required by the Financial Industry Regulatory Authority (FINRA) to make investment recommendations that are in line with the investor’s age, risk tolerance, net worth, and investment experience, among other factors. [read post]
16 Jan 2015, 10:50 am
Broker dealers are required by the Financial Industry Regulatory Authority (FINRA) to perform a suitability analysis to ensure the products they sell are appropriate for each investor. [read post]
16 Jan 2015, 6:16 am
Enter the recent fine imposed by The Financial Industry Regulatory Authority (FINRA) that 10 of the largest brokerage firms were fined a total of $43.5 million for allowing their equity research analysts to solicit investment banking business by offering favorable research coverage in connection with the 2010 planned initial public offering of Toys “R” Us. [read post]
15 Jan 2015, 7:24 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Popular Securities, Inc. [read post]
14 Jan 2015, 4:51 pm
The VCC includes exceptions to these consent requirements in certain circumstances, such as required disclosures to law enforcement officials and regulatory authorities, disclosures that “preserve the safety and reliability of the electric grid and critical infrastructure,” or disclosures of aggregated or anonymized data. [read post]
