Search for: "Financial Industry Regulatory Authority"
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3 Jul 2019, 1:10 pm
He has been accused by the Financial Industry Regulatory Authority (FINRA), too, of to the tribe about the commissions. [read post]
11 Sep 2012, 5:10 am
FIO, although without direct regulatory authority, will play an important role in the future regulation of the insurance industry. [read post]
8 Jun 2017, 9:22 am
The Financial Industry Regulatory Authority (FINRA) is an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. [read post]
5 Nov 2007, 2:35 am
The BNSC should use its consultation on regulation to discuss the establishment of a regulatory framework and responsible body with the relevant authorities. [read post]
12 Oct 2020, 1:06 pm
December, 2010: A regulatory disclosure initiated by the State of New York Insurance Department stats that an investigation was conducted into “the sale of annuity contracts in NY by company not authorized to sell products in NY. [read post]
14 Mar 2023, 5:25 pm
The key reforms touch on issues of coordination, especially in the context of data governance.having the Ministry of Science and Technology (MOST) play a bigger role in improving the “new type of whole-nation system” for achieving technological breakthroughs and strengthening its “macro-management functions” relating to science and technology;restructuring China’s financial regulators by, among other changes, creating a new National Financial… [read post]
4 Mar 2021, 9:30 am
Industry Developments SPOTLIGHT: Int [read post]
24 May 2011, 9:23 am
Senator Grassley said that he continued this oversight by recently writing to the Financial Industry Regulatory Authority (FINRA) seeking referrals from FINRA from January 1, 2000, to the present regarding the hedge fund, a firm that has been the subject of significant media coverage regarding allegations of insider trading. [read post]
1 Sep 2011, 4:15 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in May, June, July and August 2011: Midas Securities, LLC, in Anaheim, CA, was fined $80,000 in connection with a finding by FINRA that they failed to reasonably supervise registered representatives in the sale of unregistered securities. [read post]
14 Mar 2011, 1:27 pm
Sec. 922 confers jurisdiction on the courts, rather than to a Financial Industry Regulatory Authority (FINRA) arbitration panel, by voiding arbitration agreements. [read post]
17 Feb 2017, 8:39 am
It acquires the characrer of regulatory arbitration--something quite new. [read post]
6 Jun 2022, 7:06 am
Exporters must pay attention to changes in the regulatory framework and seek guidance from BIS if they do not understand new rules. [read post]
2 Nov 2007, 3:50 am
Finally, the Commissioner’s representatives discussed other reasons why they consider Puerto Rico an ideal location for international insurers and reinsurers: • Puerto Rico is an international finance destination, with internationally-recognized banking and financial services industries. [read post]
25 Mar 2022, 10:59 am
CISA, however, is authorized to share this data only if it was [read post]
22 Aug 2011, 2:00 am
Bowman, Acting Director of the OTS regarding Federal Regulator Perspectives on Financial Regulatory Reform Proposals before the House Committee on Financial Services, 111th Cong. [read post]
16 Mar 2011, 10:19 am
This was likely standard practice for many businesses already – industry groups have had similar requirements for their members for years, such as the Payment Card Industry Data Security Standard. [read post]
2 Feb 2020, 6:49 am
The 2020 Priorities address the following eight themes: (1) retail investors, including seniors and those saving for retirement; (2) focus areas involving registered investment advisers and investment companies; (3) information security; (4) financial technology and innovation, including digital assets and electronic investment advice; (5) focus areas involving broker-dealers and municipal advisors; (6) anti-money laundering (“AML”) programs for broker-dealers and investment… [read post]
5 Dec 2009, 2:13 pm
NASAA wants to terminate mandatory pre-dispute arbitration clauses that make investors to pursue their securities fraud claims in arbitration proceedings run by Financial Industry Regulatory Authority. [read post]
5 Mar 2017, 4:00 am
(“Pershing”) sued to enjoin the (“Bevis Investors”), a group of investors who allegedly sustained losses as a result of the Stanford Ponzi scheme, from arbitrating their claims against Pershing before the Financial Industry Regulatory Authority (“FINRA”). [read post]
1 Mar 2011, 5:35 am
You may have a viable claim for recovery of your investment losses by filing an individual securities arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
