Search for: "Financial Industry Regulatory Authority"
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26 May 2020, 9:19 am
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]
16 Apr 2020, 11:54 am
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]
3 Apr 2019, 8:23 am
As we have previously reported, in regards to its sales of Puerto Rico closed-end bond funds, UBS has settled with the Financial Industry Regulatory Authority Inc. and the Securities and Exchange Commission for close to $34 million. [read post]
25 May 2023, 9:25 am
The Hong Kong Monetary Authority published the consultation on its discussion paper on crypto-assets and stablecoins in January 2023, stating that the regulatory regime for stablecoins is expected to be implemented in 2023/2024. [read post]
8 Jun 2024, 9:03 pm
About the author: David Isaacson is Vice President of Product Marketing at ETQ. [read post]
5 Nov 2023, 3:10 pm
Characterizing each of the violations as due to reasonable cause and not willful neglect, the Proposed CMP Notice made note that OCR was authorized by sta [read post]
18 Nov 2020, 8:36 am
The food system’s patchwork regulatory regime is at least parti [read post]
29 Sep 2021, 10:40 am
FINRA updates Private Placement Rules in 2021 The Financial Industry Regulatory Authority Inc (FINRA), the broker dealer self-regulator, is changing its rules regarding private placements starting October 1, 2021. [read post]
9 Mar 2021, 2:12 pm
The 2020 lawsuit filings against non-U.S. companies involved companies in a wide variety of industries, with the largest number involving companies in the biotechnology and medical equipment industry (14), followed by software and programming (9), the consumer and financial services industry (7), and the communications services industry (7). [read post]
13 Sep 2010, 1:04 am
Hirsch and Pond recently settled related charges with the Financial Industry Regulatory Authority, agreeing to jointly pay a $100,000 fine. [read post]
16 Jul 2010, 1:43 pm
To put this number in perspective, Sarbanes-Oxley, Washington's last exercise in financial regulatory overreach, demanded only 16 new regulations. [read post]
13 Jan 2021, 9:05 am
We are comprised of former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors, and are experienced at managing every stage of complex regulatory investigations. [read post]
12 Jul 2018, 9:30 pm
In an article for the International Energy Law Review, Flavio Inocencio of Coventry University examined regulatory agencies’ roles in the oil and gas industry across the globe. [read post]
22 May 2019, 8:50 am
TONO hits a new collection record; KODA reports a second year of DKK1bn+ receipts Norwegian and Danish authors’ societies TONO and KODA have reported their financial results for 2018. [read post]
4 Dec 2006, 3:23 pm
Hindert (author of S2KM's blog) and published by Law Journal Press. [read post]
26 Sep 2022, 7:33 am
As the firm’s website explains, their lawyers “have represented clients in matters initiated by the Department of Justice, the Securities and Exchange Commission, the Financial Industry Regulatory Authority . . . and local prosecuting authorities. [read post]
14 Jun 2019, 11:16 am
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]
5 Jul 2019, 6:06 am
For instance, although some dealmakers have been restrained, others—including in the biopharmaceutical and financial services industries—have remained active. [read post]
27 Nov 2019, 12:55 pm
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
1 May 2010, 1:39 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in April 2010: Heriberto Americo Artiga Sr. of Sylmar, California, formerly with Lincoln Financial Securities Corporation in Downey, California, was barred from association with any FINRA member in any capacity for engaging in private securities transactions involving… [read post]
