Search for: "Financial Industry Regulatory Authority"
Results 7921 - 7940
of 11,238
Sorted by Relevance
|
Sort by Date
16 Sep 2011, 1:40 am
Risk Financial Services. [read post]
1 Feb 2019, 12:00 am
Regulatorische Vielfalt aus der Perspektive einer Bank Mathias Otto* ZVglRWiss 117 (2018) 542-556 [Regulatory Diversity from a Banking Perspective] The globalization of the financial industry as well as tightened regulation of the sector significantly increased the potential for cross-border regulatory conflicts. [read post]
9 Nov 2021, 12:46 pm
He has been in the industry since 1992. [read post]
4 Feb 2019, 7:45 am
While broker-dealers may try to wash their hands of brokers’ outside business activities, time and again securities industry watchdog, FINRA (the Financial Industry Regulatory Authority) has made it clear that firm are responsible for what their brokers get up to outside of the normal course of business. [read post]
29 Feb 2016, 6:43 am
Given these disturbing trends what is The Financial Industry Regulatory Authority’s (FINRA), the industry’s self-regulatory watchdog, doing to protect investors? [read post]
23 Nov 2020, 2:14 pm
Brokers Are Not Supposed To Borrow From Clients According to rules and regulations established by the Financial Industry Regulatory Authority (FINRA), stock brokers are not supposed to borrow money from their clients in most circumstances. [read post]
5 Nov 2015, 11:46 am
According to the FTC, the operation will involve coordinated actions by the Department of Justice, the Consumer Financial Protection Bureau (CFPB), 47 state attorneys general, 17 state regulators, other state and local law enforcement authorities, and even one Canadian agency. [read post]
11 Mar 2011, 9:31 am
Their popularity has caused the Financial Industry Regulatory Authority ("FINRA"), which regulates brokerage firms and their registered representatives, to issue stern warnings against selling the products to typical retail investors. [read post]
28 Jul 2020, 7:57 am
Silver Law Group, a law firm that specializes in representing investors in securities arbitration proceedings administered by the Financial Industry Regulatory Authority (FINRA), has filed numerous arbitration claims against broker-dealers arising out of the improper marketing and sale of investments in various funds managed by GPB Capital Holdings, LLC, including: GPB Cold Storage GPB Automotive Portfolio GPB Holdings GPB Holdings II GPB Holdings III GPB Waste… [read post]
27 Nov 2017, 4:35 pm
A key response to the 2008 financial crisis, the CFPB is the first federal agency with the sole goal of protecting consumers of the U.S. financial services industry. [read post]
27 Nov 2017, 4:35 pm
A key response to the 2008 financial crisis, the CFPB is the first federal agency with the sole goal of protecting consumers of the U.S. financial services industry. [read post]
14 Oct 2013, 2:07 am
The likeliest time for a D&O insurer to try to add a regulatory exclusion is when a financially troubled bank seeks to renew its insurance. [read post]
17 Apr 2023, 5:16 am
The tech industry’s proclivity toward secrecy amplifies this problem. [read post]
5 May 2023, 6:22 am
The Consultation Paper aims to collect industry feedback on the Draft Amendments to ensure that the regulatory approach is reasonable and permits flexibility in the rapidly developing area of AI. [read post]
21 Feb 2018, 5:13 pm
When they fail to do so, they can be held legally accountable through arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), and currently numerous investment advisory firms are facing arbitration claims filed by individual investors who have suffered losses in Puerto Rico municipal bonds and bond funds. [read post]
7 Apr 2013, 7:04 am
This was because the usual rate paid to parent companies to recognize the company’s goodwill as well as patents and know-how (especially in industries focused on innovation) was between 5% and 8% and Unilever originally used to pay only 3.5%, which it had recently increased to 8%. [read post]
9 Jun 2022, 9:30 pm
The President invoked the Defense Production Act to authorize the U.S. [read post]
13 Jun 2024, 9:05 pm
The Consumer Financial Protection Bureau (CFPB) proposed a rule that would remove past and future medical debt from credit reports to increase credit scores and loan approvals. [read post]
3 Aug 2022, 3:08 pm
ROSCA does not define “consumer” but it incorporates the FTC’s enforcement authority under the FTC Act. [read post]
18 Jun 2009, 9:00 am
In addition, the compensation committee would have authority to retain counsel and consultants. [read post]
