Search for: "Financial Industry Regulatory Authority"
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18 May 2018, 3:18 pm
Claire Skentelbery, Nanomaterials Industry Association (NIA), addressed industry expectations for EUON and how industry can contribute. [read post]
7 Jun 2012, 11:24 am
With HB 503, it will take less time for business endeavors to get through the process of getting regulatory okays -- and no, the environment isn't tossed aside as this new legislation changes the permitting procedures. [read post]
15 Jan 2019, 10:24 am
Our Puerto Rico investor fraud lawyers have been working with retail investors, small business owners, and institutional investors on the island and the mainland to bring their securities arbitration claims before the Financial Industry Regulatory Authority (FINRA). [read post]
22 Apr 2022, 6:18 am
BNPL providers operate in a “legal gray space,” the paper says, due to weak regulatory oversight. [read post]
14 Jun 2021, 12:39 pm
The authors explain that in the aftermath of George Floyd’s death, which resulted in greater calls for racial equity and social justice as well as historic financial commitments by the banking industry to address those issues, there has been renewed interest in SPCPs. [read post]
14 Nov 2021, 8:23 pm
(Ethan Lou, Financial Post). [read post]
20 Sep 2018, 12:46 pm
The Securities and Exchange Commission (“SEC”) affirmed a Financial Industry Regulatory Authority (“FINRA”) Decision in which EKN Financial Services Inc. stockbroker, Louis Ottimo, was assessed a $25,000.00 fine and two-year suspension in all capacities pursuant to findings that he willfully failed to accurately and timely update his Uniform Application for Securities Industry Registration or Transfer (“Form… [read post]
29 Mar 2019, 12:01 pm
This is why UBS has reportedly already paid more than $480 million to settle UBS Puerto Rico bond fraud claims brought before the Financial Industry Regulatory Authority (FINRA) by investors. [read post]
23 May 2013, 4:00 am
According to the CFPB’s press release, in agreeing to the framework, the CSBS was “acting on behalf of state financial regulatory authorities. [read post]
28 Jun 2011, 11:52 am
The financial information would be audited. [read post]
17 Aug 2017, 7:34 am
In addition, the former financial advisers reportedly claim their request for arbitration should be granted based on their written employment contracts as well as under the Financial Industry Regulatory Authority’s arbitration rules. [read post]
14 Aug 2022, 12:01 pm
While other Chinese authorities have also been active in a regulatory rectification unleashed in November 2020 with the last-minute suspension of the Ant Group’s planned IPO, the CAC is no ordinary Chinese regulatory agency. [read post]
31 May 2009, 6:28 pm
Capuano (D-MA) and Michael Castle (R-DE), addresses one of NASAA's Core Principles for Financial Services Regulatory Reform - closing regulatory gaps. [read post]
23 Mar 2009, 6:33 am
Official Code § 7-632 authorizes the establishment of a Regulatory Enforcement Fund to be used by DDOE to finance its regulatory practice. [read post]
18 May 2020, 5:00 pm
A majority of the comments, which were submitted from industry associations, end-users, traders, commercial participants, and exchanges were generally supportive of the proposed rules, while there were some calls for greater clarity or further regulatory relief. [read post]
15 Jul 2010, 12:44 pm
Section 1057 creates a robust private right of action for employees in the financial services industry who suffer retaliation for disclosing information about fraudulent or unlawful conduct related to the offering or provision of a consumer financial product or service. [read post]
13 Jan 2012, 12:25 pm
The Proposals would further provide that: A qualified person must participate in a contingency fund that protects the assets entrusted to it by its counterparties, or comply with minimum working capital requirements as calculated on Form 31-103F1 Calculation of Excess Working Capital4 or under the Joint Regulatory Financial Questionnaire and Report of the Investment Industry Regulatory Organization of Canada (IIROC). [read post]
8 Jun 2010, 9:36 am
Record, May 19, 2010, S3955.The Credit Rating Agency Board would be comprised of industry experts: investors, issuers, raters, and, independents. [read post]
10 Sep 2020, 7:15 am
The Financial Industry Regulatory Authority, or “FINRA” sets the standards in the brokerage industry for the suitable sale of investments to brokerage clients. [read post]
21 Dec 2017, 5:23 am
.” — PIABAUntil recently, non-attorney representatives have been permitted by the FINRA (Financial Industry Regulatory Authority) to advocate on behalf of aggrieved investors in their arbitration forum. [read post]
