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19 Jul 2023, 9:42 am
“What’s needed is less segmentation and more clarity over jurisdictional authority in the U.S. [read post]
19 Jul 2023, 7:51 am
This may involve filing a complaint with the appropriate resolution agency such as the Financial Industry Regulatory Authority (FINRA) or seeking legal representation to hold your broker accountable for their actions. [read post]
17 Jul 2023, 10:00 pm
On May 12, 2023, the Financial Industry Regulatory Authority (FINRA) announced its first ever expulsion under Regulation Best Interest (BI), of member SW Financial, and a settlement with its CEO and majority shareholder, Thomas Diamante. [read post]
17 Jul 2023, 10:00 pm
Consumer Regulatory Law Gain a complete understanding of the regulatory framework for financial institutions and entities that provide consumer financial services. [read post]
17 Jul 2023, 10:00 pm
Check out the new Practical Guidance Author Center ! [read post]
17 Jul 2023, 8:49 am
Prior to engaging in margin trading, FINRA (Financial Industry Regulatory Authority) mandates a minimum deposit (margin requirement) equal to the purchase price, although some broker-dealers may require a higher amount. [read post]
17 Jul 2023, 8:35 am
On 17 July 2023, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) published an update on the Regulatory Initiatives Grid (the Grid) following Royal Assent of the Financial Services and Markets Act 2023 (the Act), given its significance for the financial services regulatory landscape. [read post]
16 Jul 2023, 9:05 pm
Boies noted that the 1978 Act transferred regulatory authority over consumer protection from the CAB to the U.S. [read post]
16 Jul 2023, 9:01 pm
” The decision could embolden states to pass legislation with predictable effects beyond their borders that target industries or issues of their choice. 5. [read post]
16 Jul 2023, 7:48 pm
The Financial Industry Regulatory Authority (FINRA) reportedly barred Luke Johnson on July 12, 2023, after the broker allegedly unsuitably invested nine clients in high-risk investments, including GPB Holdings private placements. [read post]
16 Jul 2023, 9:53 am
The U.S. judiciary has, by extension, endorsed EVP Vestager's regulatory philosophy. [read post]
14 Jul 2023, 10:21 am
Legal and Regulatory Developments SPOTLIGHT: CFPB Takes Action Against Bank of America for Illegally Charging Junk Fees, Withholding Credit Card Rewards, and Opening Fake AccountsCFPB – July 11, 2023 Today, the Consumer Financial Protection Bureau (CFPB) ordered Bank of America to pay more than $100 million to customers for systematically double-dipping on fees imposed on customers with insufficient funds in their account, withholding reward bonuses explicitly promised to… [read post]
13 Jul 2023, 12:22 pm
FINRA Accuses Eugene Kim (Gene Kim) of Broker Misconduct involving Private Placement Investment The Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator, reportedly filed a complaint against broker Eugene H. [read post]
11 Jul 2023, 11:19 am
FINRA Bars Advisor David Geake after 25 Complaints The Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator, has reportedly barred financial advisor David Geake after alleged broker misconduct. [read post]
11 Jul 2023, 11:15 am
Key recommendations The outcome report sets out a series of recommendations to the government, the Financial Conduct Authority (FCA) and industry. [read post]
11 Jul 2023, 11:12 am
Merrill Lynch agreed to pay a $6 million penalty to settle the SEC charges and, in a parallel action, Merrill Lynch agreed to pay a separate $6 million fine to settle charges brought by the Financial Industry Regulatory Authority (FINRA). [read post]
11 Jul 2023, 3:36 am
In this episode of The Geek in Review podcast, host Marlene Gebauer and co-host Greg Lambert discuss cybersecurity challenges with guests Jordan Ellington, founder of SessionGuardian, Oren Leib, Vice President of Growth and Partnership at SessionGuardian, and Trisha Sircar, partner and chief privacy officer at Katten Muchin Rosenman LLP. [read post]
10 Jul 2023, 10:00 pm
Check out the new Practical Guidance Author Center ! [read post]
AUKUS Is More Than Submarines: Its Advanced Capabilities Pillar Will Also Require Fundamental Shifts
10 Jul 2023, 8:00 pm
Western defense and technology industries, long accustomed to free-market competition without limits, should be encouraged to think more about cooperation with industries in like-minded countries. [read post]
AUKUS Is More Than Submarines: Its Advanced Capabilities Pillar Will Also Require Fundamental Shifts
10 Jul 2023, 8:00 pm
Western defense and technology industries, long accustomed to free-market competition without limits, should be encouraged to think more about cooperation with industries in like-minded countries. [read post]
