Search for: "Financial Industry Regulatory Authority"
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16 Jan 2014, 1:48 pm
According to the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
7 Jun 2021, 8:26 am
Broker-dealers are regulated by and required to be registered with the Financial Industry Regulatory Authority (FINRA). [read post]
8 Oct 2018, 3:08 pm
Following the JSR, steps were taken to improve regulators’ access to information on Treasury market activity, as detailed in a previous Liberty Street Economics post, with Financial Industry Regulatory Authority (FINRA) members beginning to submit data on cash market transactions to FINRA’s Trade Reporting and Compliance Engine (TRACE) on July 10, 2017. [read post]
11 Jun 2021, 5:28 am
Recently the Financial Industry Regulatory Authority sanctioned three broker-dealers for their alleged failure to conduct adequate due diligence before permitting the sale of the LJM alternative mutual fund and failure to supervise their representatives’ recommendation of LJM. [read post]
5 Sep 2012, 10:13 pm
Financial Industry Regulatory Authority rules have established that brokers and firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation given their age, investment objectives and risk tolerance. [read post]
30 Jan 2018, 8:07 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]
4 Jun 2012, 6:00 am
On Wednesday the GAO released its report, entitled Opportunities Exist to Improve SEC’s Oversight of the Financial Industry Regulatory Authority, which examines, among other things, how the Commission oversees FINRA rule proposals and the effectiveness of FINRA’s rules and how the Commission plans to enhance its oversight of FINRA. [read post]
11 Jun 2021, 5:28 am
Recently the Financial Industry Regulatory Authority sanctioned three broker-dealers for their alleged failure to conduct adequate due diligence before permitting the sale of the LJM alternative mutual fund and failure to supervise their representatives’ recommendation of LJM. [read post]
17 Dec 2014, 8:00 am
He also thanked the Financial Industry Regulatory Authority for its assistance in the investigation. [read post]
24 Mar 2010, 5:22 pm
Employees were far more effective in identifying fraud than the SEC--the government agency responsible for regulating the securities industry. [read post]
17 Nov 2010, 6:16 am
Reverse convertible notes were tied to a $500,000 fine levied by the Financial Industry Regulatory Authority (FINRA) against former Ferris, Baker Watts LLC, acquired by RBC Wealth Management. [read post]
26 Aug 2015, 6:28 am
Generally, the investor would bring an arbitration case with the Financial Industry Regulatory Authority (FINRA). [read post]
18 Jul 2017, 9:36 am
The Financial Industry Regulatory Authority’s arbitration award was beyond what the claimants initially sought. [read post]
23 Feb 2024, 11:04 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the FBI, and the U.S. [read post]
15 Jul 2012, 9:47 pm
Financial Industry Regulatory Authority rules have established that brokers and firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation given their age, investment objectives and risk tolerance. [read post]
27 Jul 2018, 8:26 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes. [read post]
13 Mar 2018, 3:48 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]
26 Dec 2011, 1:02 am
The Second Circuit held that an issuer who purchases auction-facilitating services for its auction rate securities from a broker-dealer is a “customer” of that broker-dealer within the meaning of the Financial Industry Regulatory Authority (“FINRA”) Rule 12200. [read post]
6 Apr 2023, 3:58 am
From my vantage point, the foundation of which was largely informed by my time at FINRA (the Financial Industry Regulatory Authority), most of the recent SEC enforcement actions have centered around fraud schemes and “worst practices” common to private and public ventures and capital markets. [read post]
19 May 2014, 10:31 pm
Briefly, Horizon 2020 is described as a financial instrument aimed at creating a single market for knowledge, research and innovation, where the private and public sectors will match know-how and investments, particularly in the sign of digitization. [read post]
