Search for: "Financial Industry Regulatory Authority"
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8 Nov 2010, 12:33 am
The authors do propose some regulatory alternatives. [read post]
10 Feb 2013, 10:08 pm
Third, the authors conducted a series of interviews with key stakeholders in from post-secondary institutions, government, industry, organized labour, and young people themselves. [read post]
17 Mar 2020, 12:30 pm
States should also consider requiring insurers to report aggregate claims data to state regulatory authorities on the correlations between different cybersecurity products, frameworks, and guidelines and claims data. [read post]
27 Aug 2024, 7:14 am
As a heavily regulated industry in the U.S., the maritime industry is not immune from Loper Bright’s potential implications. [read post]
4 Apr 2022, 3:45 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
26 Apr 2022, 8:57 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
10 Jul 2012, 8:25 am
Accounting and financial arrangements tend to be opaque, to say the least. [read post]
21 Apr 2022, 9:19 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
5 Aug 2019, 10:38 am
The private placement issuer is under investigation by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), the Federal Bureau of Investigation (FBI), and New Jersey and Massachusetts regulators, with the latter, Secretary of the Commonwealth William Galvin, investigating more than six dozen brokerage firms that sold GPB private placements to investors. [read post]
1 Jul 2010, 8:22 am
” The Securities and Exchange Commission recently announced it was deferring approval of new ETFs that use derivatives, and the SEC and the Financial Industry Regulatory Authority Inc. [read post]
2 Jun 2020, 11:16 am
Recovering UBS YES Losses Through FINRA Dispute Resolution FINRA (the Financial Industry Regulatory Authority) operates a dispute resolution forum where non-judicial arbitration and mediation can resolve securities-related disputes between investors and brokerage firms and brokers. [read post]
28 Feb 2022, 5:18 am
The Financial Industry Regulatory Authority (FINRA) last October launched a thorough examination of the activities of brokerage firms in relation to special purpose acquisition companies (SPACs) because of the risks of the investments and the potential for financial losses for retail investors. [read post]
27 Oct 2017, 8:00 am
The council has also confirmed it was unaware of many alleged complaints made about the conduct of Premier’s array of investment funds, including NERR, to the Manx regulatory authorities, and to the UK Financial Services Ombudsman from 2004 onwards.The problems and apparently insurmountable technological and financial issues facing NESG and SBC dragged on thr [read post]
20 Jul 2023, 10:44 am
Join us for expert panels, top-notch speakers, and the chance to stay ahead of the curve in this rapidly evolving industry. [read post]
15 Nov 2019, 2:00 am
Regulatory Fines Regulatory compliance is necessary for many industries, as noncompliance comes with significant financial consequences. [read post]
17 Jan 2019, 12:49 pm
The Financial Industry Regulatory Authority (FINRA) reportedly barred Buck from practicing in the securities industry in July 2015. [read post]
5 Jan 2018, 12:26 pm
Also the Financial Industry Regulatory Authority (FINRA) Rule 2020 also prohibits members from effecting “any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance. [read post]
29 May 2009, 2:51 pm
FINRA, the Financial Industry Regulatory Authority, has brought a similar complaint alleging fraud against six other former Brookstreet brokers. [read post]
15 May 2012, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) has started to increase its efforts in regulating inverse ETFs and ETNs, hoping to ensure that unsophisticated investors are not being sold these complicated products. [read post]
8 Nov 2019, 8:39 am
The Financial Industry Regulatory Authority has also sanctioned certain broker dealers for unsuitable sales of certain ETNs to retail customers. [read post]
