Search for: "Financial Industry Regulatory Authority"
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1 Jan 2018, 5:54 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]
31 May 2018, 8:44 am
Under her bill, the Financial Industry Regulatory Authority Inc. would have to establish a fund financed by FINRA fines to cover awards that firms and brokers fail to pay to customers who win arbitration claims. [read post]
5 May 2011, 6:03 pm
For those that have relationships with high frequency trading ("HFT") teams, note that the Financial Industry Regulatory Authority ("FINRA") has publicly declared its intention to scrutinize firms that effect "orders by use of HFT models or trading algorithms" by making sure that "such trading complies with applicable FINRA rules and federal securities laws and regulations, including anti-manipulation provisions. [read post]
19 Jun 2014, 10:57 am
Broker dealers that overlook the Financial Industry Regulatory Authority’s suitability requirements or mislead investors regarding risks can be liable for investment losses through FINRA arbitration. [read post]
3 Apr 2019, 6:00 am
The author would like to thank Coco Chen, articling student, for her assistance in preparing this legal update. [read post]
28 Oct 2019, 12:11 pm
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]
14 May 2024, 6:31 am
“Coupled with consumer protection enforcement and rulemaking initiatives around ‘dark patterns,’ these new legal authorities and regulatory announcements counsel caution in the manner in which businesses craft their pricing and disclosures surrounding fees. [read post]
28 Jun 2013, 6:14 am
The failure to provide complete subsidies for prescription-drug coverage will indirectly continue to have an adverse financial impact on soaring workers' compensation costs. [read post]
5 Jun 2020, 8:56 pm
In a June 4 letter to SEC Chairman Clayton, Securities Industry and Financial Markets Association (SIFMA) offered input on the data security questions raised earlier this year by the Commission to its staff regarding the consolidated audit trail (CAT). [read post]
11 Mar 2020, 8:47 am
According to the Financial Industry Regulatory Authority, Cindy Chiellini currently has more than thirty (30) customer disputes on her broker record for similar allegations, many of which were filed recently. [read post]
14 Jun 2010, 2:59 am
" Q: Right, but with of all these issues competing for the Senate's time--health care, financial regulatory reform--it seems difficult to get food issues high enough on the list to get them on the schedule...A: It's interesting. [read post]
28 Jun 2010, 5:15 am
The first pillar is a strong regulatory framework. [read post]
25 Feb 2020, 6:22 am
According to BrokerCheck records, Singh was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Farmers Financial Solutions, LLC (Farmers Financial). [read post]
25 Jul 2012, 8:34 am
However, understanding that a relaxation on business regulation administered under the ITAR umbrella will result in less financial burden and greater incentives to do business with United States industry currently hindered by ITAR, is a gleaming fact. [read post]
16 Jul 2024, 6:35 am
Regulatory and Legislative Efforts Efforts to address the high costs and regulatory challenges of the air ambulance industry are ongoing. [read post]
30 Apr 2018, 3:13 pm
” It also notes the authority that the E-SIGN Act grants to federal regulatory agencies to “exempt without condition a specified category or type of record from the requirements relating to consent” and comments that “any policy concerns related to the application of the E-SIGN Act to validation notices are more appropriately addressed through the exercise of that statutory authority. [read post]
23 Apr 2021, 7:25 am
That same year, a deputy governor of the PBOC, Fan Yifei, said that financial applications of blockchain would be the key to global financial competitiveness. [read post]
19 Dec 2019, 10:09 am
Public blockchain, the underlying technology upon which bitcoin was built, is a decentralized peer-to-peer network that is powered by its users and free from central authority. [read post]
23 Sep 2008, 4:56 pm
That said, 90% of those willies are based on imagining Phil Gramm in control of the financial service industry (and having the rest of the economy in a pincer). [read post]
31 Mar 2008, 9:43 am
If the more unified financial regulator is supposed to be based on the so-called "President's Working Group," formalizing that institution and maybe building on its domestic responsbilities (it was created to engage in international regulatory cooperation thought the Financial Stability Forum) is administratively easy. [read post]
