Search for: "Financial Industry Regulatory Authority"
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16 May 2018, 4:37 am
BrokerCheck, run by FINRA (the Financial Industry Regulatory Authority), provides not only a work history of every registered broker in the industry, but also a history of customer complaints, disputes, and terminations.Do you read your statements? [read post]
27 Aug 2011, 7:40 am
• Increased focus of global regulatory compliance. [read post]
27 Aug 2008, 6:50 pm
" SSEK represents clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the American Arbitration Association (AAA) and in private arbitration actions. [read post]
10 Oct 2022, 5:11 am
.; Proposed Rule Change, as Modified by Amendment No. 2, to Amend Rule 25.3, Which Governs the Exchange’s Minor Rule Violation Plan, in Connection with Certain Minor Rule Violations and Applicable Fines.SR-FINRA-2022-017: Financial Industry Regulatory Authority, Inc.; Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. [read post]
6 Oct 2009, 9:24 am
The Financial Industry Regulatory Authority (FINRA) already has increased its scrutiny of broker/dealers for sales of Medical Capital Holdings offerings to investors, requesting information from firms that sold the investments to clients on July 16 - the same day the SEC charged Medical Capital with securities fraud. [read post]
20 Nov 2009, 6:15 am
As the country prepares to overhaul the financial regulatory system more research into relationship is clearly warranted. [read post]
4 Dec 2023, 10:00 pm
Check out our Practical Guidance Author Center ! [read post]
1 May 2024, 4:24 am
Legislative and Regulatory Challenges There are debates about the legal authority of bodies like the SEC to enforce ESG and climate-related disclosure standards. [read post]
29 Dec 2010, 12:41 pm
These incentives include tax credits and funding from the New Jersey Economic Development Authority (NJEDA). 4. [read post]
21 Jun 2018, 12:42 pm
SEC may seem like a case that only those in the financial industry, and certain individuals in the legal community, would take interest in. [read post]
1 Feb 2016, 10:37 am
Then, violations of self-regulatory rules can be enforced under the FTC’s deception authority. [read post]
21 Dec 2012, 12:27 am
Effective policies, training, good tone at the top, and general supervisory authority are just a start. [read post]
7 Apr 2015, 5:20 am
This ruling directly impacts employers within the financial industry who are located or have employees living in these four states. [read post]
11 Oct 2011, 9:36 am
-based broker-dealer Citigroup Global Markets Inc., which was named in the arbitration suit the pair filed with the Financial Industry Regulatory Authority in August. [read post]
24 Apr 2020, 9:31 am
These recent investigations demonstrate the current regulatory climate for lease-to-own companies and the heightened scrutiny by federal regulatory authorities, such as the FTC, on the subprime financial marketplace in which the lease-to-own industry operates. [read post]
8 Sep 2019, 7:56 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Murray’s customer complaint concerns allegations of unsuitable investments. [read post]
21 Apr 2020, 8:35 am
It includes risk management function, financial control function, compliance function, internal audit function, actuarial function and any other function specified by the Financial Secretary by notice published in the Gazette. [read post]
4 Sep 2019, 12:45 pm
And yet at the same time these lofty possibilities will likely be constrained by the real limitations of technical capacity and the allocation of authority between a bank manager and an ethics "super-ego" with influence but no real authority. [read post]
15 Jul 2020, 7:20 am
With the constant development of China’s asset management industry, Llinks keeps close working relationships with the relevant authorities and industry regulators. [read post]
31 Jan 2022, 6:41 am
He had been in the industry since 1976. [read post]
