Search for: "Financial Industry Regulatory Authority"
Results 8061 - 8080
of 11,238
Sorted by Relevance
|
Sort by Date
9 Jan 2016, 5:05 am
Lehmann, the author of the study. [read post]
14 Apr 2010, 8:25 am
Schwab has strongly defended the Class Action, and has been a party to many hundreds of customer initiated investment related claims in arbitration before the Financial Industry Regulatory Authority (andquot;FINRAandquot;) arbitration. [read post]
3 Feb 2016, 2:30 am
The CFPB is urging banks and credit unions to offer consumers accounts that do not authorize them to spend money they don’t have. [read post]
15 Jul 2020, 4:25 am
The SEC ordered the payment of a $1 million penalty. **** Offshore Matters Cayman Island Monetary Authority (“CIMA”) Provides Further Guidance on the Definition of a “Private Fund. [read post]
21 Jul 2011, 4:54 am
Both the public and the press followed these developments closely, and expressed frequent concern, even outrage, at signs that the financial industry might escape the consequences of its role in precipitating the financial crisis. [read post]
21 Jul 2011, 5:03 am
Both the public and the press followed these developments closely, and expressed frequent concern, even outrage, at signs that the financial industry might escape the consequences of its role in precipitating the financial crisis. [read post]
25 Feb 2011, 10:30 am
The potential for financial losses resulting from an unpredictable and untried regulatory process—even if these losses are a result of a completely independent foreign regulatory system— may appear that much more real to investors who are considering investing in U.S. offshore projects.On the plus side, the Ontario market collapse may also increase investment in the U.S. offshore wind industry and result in more opportunities for job creation on our… [read post]
3 May 2013, 12:04 pm
In addition to its authority to examine members of the debt collection industry who qualify as “larger participants,” the CFPB has authority to examine debt collection by entities it has authority to examine (such as large banks, payday and private student lenders, and mortgage servicers) and service providers to such entities. [read post]
20 Oct 2020, 1:54 am
Former broker Troy Baily, a previously registered Investment Company and Variable Contracts Products Representative of SagePoint Financial in Omaha, NE, has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) on allegations of engaging in private securities transactions by allegedly selling securities in Future Income Payments, LLC in the total amount of $210,000. [read post]
20 Oct 2020, 1:54 am
Former broker Troy Baily, a previously registered Investment Company and Variable Contracts Products Representative of SagePoint Financial in Omaha, NE, has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) on allegations of engaging in private securities transactions by allegedly selling securities in Future Income Payments, LLC in the total amount of $210,000. [read post]
15 Jun 2009, 3:34 pm
Saturday's New York Times explained that the new regulatory scheme will keep the old guard regulatory agencies, which include the Fed, the FDIC, and the Treasury, and that instead of a new, single regulatory agency, as had been proposed, the former agencies will be given greater authority to regulate banks. [read post]
16 Aug 2006, 6:26 am
" "This is about whether the government should have the power to collect data concerning all of my emails, phone calls, web-browsing habits, financial transactions, etc. [read post]
4 Dec 2014, 5:00 pm
This, the Court ruled, was a delegation of legislative authority to private industry. [read post]
12 Dec 2009, 11:21 am
When this duty is breached, investors have the right to hold them accountable by filing an individual securities arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
20 Feb 2019, 2:27 pm
Stronger regulatory enforcement. [read post]
7 Mar 2014, 4:15 pm
The Director would also be granted the authority to review and change all existing financial assurances via an administrative decision by January 1, 2016. [read post]
15 Jul 2021, 6:43 pm
The Report follows; its annexes are rich with resources for individuals who are interested in the increasingly dense regulatory environment (mandatory, national, international, and discretionary or markets based) many companies now face in managing the human rights risks of their economic activities. [read post]
29 Nov 2021, 4:00 pm
The Martin Act establishes the regulatory framework businesses must follow when trading securities and commodities within the State of New York. [read post]
13 Apr 2010, 5:01 am
So, we actually work to promote green building not only locally here in the GTA where our regulatory authority lies, but also globally in trying to set up chapters in other countries. [read post]
15 Jan 2013, 3:16 pm
Following its implementation, the AIFMD will introduce authorization and regulation requirements for hedge funds and private equity funds and regulatory standards for depositaries and administrators; minimum capital requirements related to portfolio size, governance and risk management requirements for fund managers. [read post]
