Search for: "Financial Industry Regulatory Authority"
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8 Aug 2018, 9:08 am
National supplies Fortress with 700 brokers, of whom almost a third have been flagged by regulators such as the Financial Industry Regulatory Authority (FINRA) and others. [read post]
24 Aug 2022, 5:01 am
At the state level, examples of regulatory oversight of cybersecurity include the “safety and soundness examinations” conducted by New York State Department of Financial Services. [read post]
21 Mar 2012, 5:00 am
Besides investment advisers, OCIE also examines broker-dealers, transfer agents, investment companies, the national securities exchanges, clearing agencies, the nationally recognized statistical rating organizations, SROs (Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board), and the Public Company Accounting Oversight Board. [read post]
13 Jun 2013, 3:05 pm
Broker-dealers are required by the Financial Industry Regulatory Authority (FINRA) to sell private placements only to accredited investors that meet suitability standards. [read post]
21 Jun 2011, 5:00 am
Lee, Theoretical Basis and Regulatory Framework for Microtrade: Combining Volunteerism with International Trade Towards Poverty Elimination, 2 L. [read post]
1 Oct 2012, 11:14 am
Written by: Jay Gould and Peter Chess Effective December 3, 2012, hedge funds and other private funds that rely on Section 3(c)(1) of the Investment Company Act (“3(c)(1) Funds”) and which sell their interests through third party marketers, must ensure that their private placement memoranda (“PPM”) are filed with FINRA, the Financial Industry Regulatory Authority. [read post]
9 Dec 2019, 1:17 pm
According to records from the Financial Industry Regulatory Authority (“FINRA”), Burroughs has made (16) sixteen disclosures, including the instant accusation, fourteen (14) Customer Disputes, and one (1) regulatory allegation by the Insurance Commissioner of the State of Connecticut. [read post]
16 Jan 2014, 12:38 pm
Broker dealers are required by the Financial Industry Regulatory Authority (FINRA) to perform adequate due diligence on any investment they recommend and to ensure that they only recommend investments that are suitable for their clients. [read post]
18 Mar 2010, 6:17 pm
The Financial Industry Regulatory Authority (FINRA) has finally expelled Provident Asset Management for committing outright securities fraud in a Ponzi scheme that involved the marketing of a series of private placements under the names "Provident Energy" and "Shale Royalties. [read post]
17 Apr 2012, 6:40 am
In March 2009, the Financial Industry Regulatory Authority (FINRA) officially opened an inquiry into non-traded REITs and the broker/dealers responsible for marketing and selling the products to investors. [read post]
17 Feb 2021, 11:58 am
The Financial Industry Regulatory Authority (FINRA) reportedly issued a regulatory notice 20-42 in December seeking public comment on whether it should change to its rules, operations or administrative processes to reflect lessons learned during the pandemic. [read post]
12 May 2011, 4:56 am
The SEC’s review comes on the heels of a proposal by the Financial Industry Regulatory Authority (FINRA) for a 15% cap on commissions and fees for private placements, as well as more disclosures about offering proceeds. [read post]
7 May 2012, 8:13 am
And I think one of the issues we’re going to be dealing with is, given the nature of CAT,” is cost allocation, said Thomas Gira, Executive Vice President for Market Regulation at the Financial Industry Regulatory Authority. [read post]
7 Sep 2022, 3:03 am
The deal has been on hold while the SEC and others investigate how it came about – here’s more detail from the article: Digital World has disclosed that the SEC, the Financial Industry Regulatory Authority and federal prosecutors have been investigating the deal with TMTG, though the exact scope of the probes is unclear. [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]
19 Mar 2011, 3:22 am
Minor's previous positions include serving as Senior Counsel for the Financial Industry Regulatory Authority (FINRA) from 2005 to 2009, where he took a lead role in a task force investigating subprime lending and mortgage-backed securities abuses. [read post]
18 Mar 2010, 7:17 pm
The Financial Industry Regulatory Authority (FINRA) has finally expelled Provident Asset Management for committing outright securities fraud in a Ponzi scheme that involved the marketing of a series of private placements under the names "Provident Energy" and "Shale Royalties. [read post]
2 May 2012, 6:27 am
As reported May 1 by Investment News, the Financial Industry Regulatory Authority (FINRA) shows 4,428 broker/dealers were open in March, compared to 5,005 in 2007. [read post]
23 Jul 2014, 5:55 am
On March 24, 2014, LPL Financial was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise the way that its brokers marketed and sold nontraditional investments. [read post]
13 Apr 2021, 9:06 pm
first appeared on The Regulatory Review. [read post]
