Search for: "Financial Industry Regulatory Authority"
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12 Sep 2007, 12:50 am
They held a Seniors Summit yesterday at the Securities and Exchange Commission during which they released a joint report summarizing the results of their examinations of "free lunch" investment seminars.A year-long examination was conducted by the SEC, the Financial Industry Regulatory Authority (FINRA) and state securities regulators (members of NASAA, the North American Securities Administrators Association).… [read post]
21 Aug 2019, 9:39 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]
16 Jan 2012, 3:22 pm
According to the Senators, to leave collateral managers out of a regulation intended to limit conflicts of interest in securitizations would make no sense in the context of industry norms and unduly restrict regulatory scope and impact.The proposal suggests adopting the narrow definition of "sponsor" used in Regulation AB as a type of catchall phrase to encompass a variety of securitization participants. [read post]
13 Nov 2023, 9:05 pm
”[18] Instead, the Interpretive Guidance “puts the Council’s designation authority on equal footing with other powers. [read post]
24 Jun 2024, 3:05 pm
This article delves into the implications of these accusations, the potential financial repercussions for Apple, and the broader impact on the tech industry. [read post]
1 Mar 2017, 12:55 pm
About The Author Recognized by LexisNexis® Martindale-Hubbell® as a “AV-Preeminent” (Top 1%/ the highest) and “Top Rated Lawyer,” with special recognition as “LEGAL LEADER™ Texas Top Rated Lawyer” in Health Care Law and Labor and Employment Law; as among the “Best Lawyers In Dallas” for her work in the fields of “Labor & Employment,” “Tax: Erisa & Employee Benefits,” “Health… [read post]
16 Dec 2015, 7:44 am
According to the Times, in 2013, after Johnny Burris reported JP Morgan Chase’s sales tactics, customer complaints began appearing on his disciplinary records, which are available to the public and to prospective employers through the Financial Industry Regulatory Authority (“FINRA”). [read post]
31 May 2017, 6:06 am
” Thereafter, Connell was barred by the Financial Industry Regulatory Authority (FINRA) for failing to provide documents and information related to Morgan Stanley’s statement. [read post]
13 Jul 2018, 7:16 am
From August 2010 to February 2012, Arrieta was registered with Capital Guardian, LLC which has been expelled by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Jun 2021, 10:55 am
The 2021 National Defense Authorization Act, Pub. [read post]
16 Oct 2023, 2:21 pm
In the meantime, and separately, both the Financial Reporting Council (FRC) and the Financial Conduct Authority (FCA) have each also commenced their own investigations. [read post]
26 Jun 2019, 7:52 am
The Monetary Authority of Singapore is considering granting banking licenses to fintechs that provide digital payments and other financial services, greatly increasing the number of banking companies. [read post]
30 Mar 2020, 3:03 am
Financial sector liability guarantees – among other things, this includes a guarantee program for the U.S. money market mutual fund industry and bank debt guarantee authority 5. [read post]
4 Jun 2019, 12:53 pm
And second, it is meant to put pressure (financial and military) on Venezuela by attempting the weakening or destabilization of the Cuba-Venezuela axis. [read post]
12 Apr 2016, 10:18 am
The rules and regulations governing how brokers handle ordinary non-retirement accounts are solely within the province of the Securities and Exchange Commission and the Financial Industry Regulatory Authority. [read post]
12 Apr 2016, 10:18 am
The rules and regulations governing how brokers handle ordinary non-retirement accounts are solely within the province of the Securities and Exchange Commission and the Financial Industry Regulatory Authority. [read post]
7 Jan 2015, 9:34 am
FINRA – the Financial Industry Regulatory Authority — has stepped up to the plate this week. [read post]
30 Jan 2024, 11:17 am
As it turns out, however, the financial incentives have simply been too tempting. [read post]
20 Jan 2010, 3:12 pm
Make a more efficient and reliable regulatory process and we will be able to transform these offshore wind projects into what Europe already has: an offshore wind industry. [read post]
18 Feb 2021, 9:15 am
News – February 16, 2021 Mastercard (MA) is being investigated by Swiss authorities for the possible obstruction of Switzerland’s National Cash Scheme. [read post]
