Search for: "Financial Industry Regulatory Authority"
Results 8101 - 8120
of 11,238
Sort by Relevance
|
Sort by Date
6 Mar 2014, 9:06 pm
However, as in every industry, regulatory clarity allows predictability and transparency. [read post]
6 Mar 2014, 3:10 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
6 Mar 2014, 10:54 am
” This echoes recent statements from the Financial Industry Regulatory Authority in a January 2014 Targeted Examination Letter on Cybersecurity, and the SEC’s announcement that it will conduct a round table later this month on cybersecurity issues. [read post]
6 Mar 2014, 5:46 am
This article continues the findings of The Financial Industry Regulatory Authority (FINRA) that led to sanctions against Royal Securities Company (Royal Securities) concerning allegations Royal lacked adequate supervision and controls in several areas. [read post]
5 Mar 2014, 11:06 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
5 Mar 2014, 7:30 am
Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA)(f/k/a the NASD), stock exchanges, state financial agencies, and foreign regulatory bodies. [read post]
5 Mar 2014, 6:59 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Merriman Capital, Inc. [read post]
4 Mar 2014, 5:50 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
4 Mar 2014, 9:51 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
4 Mar 2014, 6:06 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Royal Securities Company (Royal Securities) concerning allegations Royal lacked adequate supervision and controls in several areas. [read post]
4 Mar 2014, 4:17 am
The FINRA arbitration discussed in today's BrokeAndBroker Blog seems to confirm that axiomIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012 and as thereafter amended, public customer Claimant Poling, representing himself pro se, asserted breaches of contract and fiduciary, neg... [read post]
3 Mar 2014, 3:24 pm
The Financial Industry Regulatory Authority (FINRA) is the securities industry watchdog and regulator of US broker dealers. [read post]
3 Mar 2014, 8:18 am
Spencer Bachus (R-AL), the Chairman Emeritus of the Financial Services Committee.Title IV. [read post]
3 Mar 2014, 8:08 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
2 Mar 2014, 1:00 pm
It can be made simpler using resources available from the aptly named Retirement Plan Simpler, a non-profit coalition of the American Association of Retired People (AARP), the Financial Industry Regulatory Authority (FINRA), and the Retirement Security Project. [read post]
2 Mar 2014, 1:00 pm
It can be made simpler using resources available from the aptly named Retirement Plan Simpler, a non-profit coalition of the American Association of Retired People (AARP), the Financial Industry Regulatory Authority (FINRA), and the Retirement Security Project. [read post]
28 Feb 2014, 4:54 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2012, Claimant CCO Investment Services and RBS Citizens asserted breach of contract, breach of fiduciary duty, misappropriation of trade secrets and confidential information, unfair competition, tortious interference, unjust enrichment, action on promissory note, andbreach of promissory note as contract. [read post]
28 Feb 2014, 4:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Center Street Securities, Inc. [read post]
27 Feb 2014, 10:37 am
This article was originally posted on Stock Market LossArbitrations are conducted under the auspices of the Financial Industry Regulatory Authority (FINRA). [read post]
27 Feb 2014, 9:59 am
The authors of the study do not belabor this point, but if anyone in the industry has any insight into this, I’d be interested in hearing your thoughts in the comments. [read post]
