Search for: "Financial Industry Regulatory Authority"
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3 Aug 2023, 2:05 am
This is especially true for industries like HR, in which fairness and transparency are core principles. [read post]
2 Aug 2023, 9:24 am
FSR filled a regulatory gap which existed since 1958. [read post]
1 Aug 2023, 11:55 pm
Municipal Bonds Gone Bad In 2015 The Financial Industry Regulatory Authority (FINRA) announced that it has censured and fined UBS Financial Services Incorporated of Puerto Rico (UBS PR) $7.5 million for supervisory failures related to the suitability of transactions in Puerto Rican closed-end fund (CEF) shares. [read post]
1 Aug 2023, 6:55 pm
What To Know About Broker Selling Away Ex-American Trust Financial Advisor David Geake Is Barred Following 25 Customer Disputes The Financial Industry Regulatory Authority (FINRA) has barred former stockbroker David Geake for alleged broker misconduct. [read post]
1 Aug 2023, 6:44 pm
He worked in the industry for 19 years but was suspended by the Financial Industry Regulatory Authority (FINRA) for 18 months in December 2021 for allegedly selling away what is believed to be about $1.5M of membership units in this Fund to customers. [read post]
1 Aug 2023, 6:06 am
According to the Financial Regulatory Authority (FINRA), investors should look for the typical mistakes, such as poor grammar, misspellings, odd or awkward phrasings, or misuse of investor terminology. [read post]
31 Jul 2023, 5:00 am
Congress has held a number of hearings on potential legislation to create a federal artificial intelligence (AI) regulatory agency. [read post]
29 Jul 2023, 10:16 am
Cooperation with Authorities: Demonstrating cooperation with regulatory bodies and law enforcement agencies during investigations can help establish a positive image and potential mitigating factors. [read post]
29 Jul 2023, 2:17 am
Financial/Accounting. [read post]
28 Jul 2023, 6:26 pm
Many governments and other stakehold- ers have developed more sophisticated policies, coordination mechanisms and regulatory tools with which to approach China. [read post]
27 Jul 2023, 4:40 am
Financial Industry Regulatory Authority (FINRA), is responsible for overseeing the activities of brokerage firms, and for enforcing rules and regulations related to the trading of securities. [read post]
26 Jul 2023, 9:01 pm
First, the Commission rejects financial materiality as the touchstone for its disclosures,[4] and fails to offer in its place a meaningful intelligible limit to its disclosure authority.[5] The release explains that Congress gave “the Commission, which regulates dynamic aspects of a market economy,” “intentionally broad” authority to require disclosures on a wide range of matters, even ones that do “not directly relate to a company’s… [read post]
24 Jul 2023, 10:00 pm
Check out the new Practical Guidance Author Center ! [read post]
24 Jul 2023, 9:01 pm
The bill also contemplates the formation of a self-regulatory organization (SRO) — a “customer protection and market integrity authority” — for the digital asset space. [read post]
24 Jul 2023, 3:58 am
This makes your brand far more difficult to directly imitate or leverage without authorization. [read post]
21 Jul 2023, 4:54 am
Crypto “diagnoses pain points” in the traditional financial system, like slow payment systems, unbanked people without access to financial services, and payday lending. [read post]
20 Jul 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
20 Jul 2023, 10:45 am
The White Law Group reviews the regulatory history of SagePoint Financial. [read post]
20 Jul 2023, 10:44 am
Join us for expert panels, top-notch speakers, and the chance to stay ahead of the curve in this rapidly evolving industry. [read post]
19 Jul 2023, 9:05 pm
Pending Bills California’s financial climate risk disclosure bill, known as the Climate-Related Financial Risk Act (SB 261), passed the State Senate on May 30 with a vote of 27-8 and is now before the state Assembly.[13] It would require covered businesses with annual gross revenues of more than $500 million to prepare and make public a “climate-related financial risk report disclosing the entity’s climate-related financial risk and measures… [read post]
