Search for: "Financial Industry Regulatory Authority"
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17 Jul 2012, 2:21 pm
Due to the increase in the sales of floating rate funds, the Financial Industry Regulatory Authority (FINRA) is now paying closer attention to the manner in which these funds are marketed and sold. [read post]
12 Oct 2017, 3:25 pm
For example, with respect to a recent arbitration before the Financial Industry Regulatory Authority (“FINRA”), the arbitration panel ruled in favor of investors Troy and Elizabeth Benitone, awarding the claimants $569,000. [read post]
17 Jul 2012, 2:21 pm
Due to the increase in the sales of floating rate funds, the Financial Industry Regulatory Authority (FINRA) is now paying closer attention to the manner in which these funds are marketed and sold. [read post]
20 Jul 2011, 3:08 am
The standards and procedures are similar to those set forth in the NAIC Suitability in Annuity Transactions Model Regulation, and the Financial Industry Regulatory Authority’s current National Association of Securities Dealers Rule 2310 for securities. [read post]
15 Feb 2011, 10:12 am
Workman Securities, a big seller of private placements in Medical Capital Holdings and Provident Royalties, has reached an agreement with the Financial Industry Regulatory Authority (FINRA) to settle issues over the deals. [read post]
25 Jun 2010, 11:26 am
In February 2010, the Financial Industry Regulatory Authority (FINRA) issued an alert to investors on the risks associated with reverse convertibles. [read post]
23 Jul 2015, 4:34 pm
Brokers that sell REITs have a fiduciary duty to make sure the investment is suitable for every individual client and must take into account the clients age, risk tolerance, financial needs, and investment objections to name a few of the suitability requirements enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
3 Jul 2013, 2:31 pm
Broker-dealers are required by the Financial Industry Regulatory Authority (FINRA) to take into consideration a clients age, net worth and risk tolerance when making investment recommendations. [read post]
19 Oct 2009, 11:59 am
Financial Services Authority, CMC Canada maintains its registration as an investment dealer with the OSC and as a member of Investment Industry Regulatory Organization of Canada and all distributions are conducted pursuant to the rules of the QDA and the Autorité des marchés financiers. [read post]
15 May 2019, 12:34 pm
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve such disputes. [read post]
17 Jan 2011, 8:41 am
The claims, filed with the Financial Industry Regulatory Authority (FINRA) involve $90 million in investor losses connected to Medical Cap Holdings. [read post]
21 Jun 2013, 7:17 am
However, some investors may be able to recovery their losses by filing a claim with the Financial Industry Regulatory Authority (FINRA) against the brokerage firm that sold them the investment. [read post]
12 Mar 2009, 6:05 am
Easterbrook's faith in the disciplining effect of market forces is misplaced here, Posner argued, because "mutual funds are a component of the financial services industry, where abuses have been rampant. [read post]
10 Feb 2020, 10:55 am
However, states differ as to whether commercial automobile programs may satisfy the financial responsibility requirements of their on-duty drivers through the surplus lines market when such states have not otherwise granted express authority to do so, such as in the TNC context. [read post]
15 Nov 2022, 3:19 pm
Supreme Court seeking review of the Fifth Circuit panel decision in Community Financial Services Association of America Ltd. v. [read post]
27 May 2024, 9:59 pm
This analysis is vital for stakeholders seeking to comprehend the broader impact of this regulatory change. [read post]
21 Jan 2009, 8:10 pm
But he also leaves its continued existence in doubt, given its manifest failures and contributions to the global financial crisis. [read post]
28 Aug 2019, 5:24 am
Swiss Regulator Releases AML, KYC Guidance for Blockchain PaymentsCointelegraph – August 26, 2019 Switzerland’s Financial Market Supervisory Authority (FINMA) has released guidance on regulatory requirements for payments on the blockchain under FINMA supervision. [read post]
1 Apr 2008, 7:26 am
Many are relying on these regulatory changes to help ease the current housing crisis. [read post]
18 Jun 2014, 1:04 pm
In addition to the regulatory action discussed above, Mr. [read post]
