Search for: "Financial Industry Regulatory Authority"
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9 Sep 2020, 1:00 pm
GPB Capital has been under investigation by various regulators, including the SEC, the Financial Industry Regulatory Authority and the FBI since 2018. [read post]
30 Oct 2020, 11:21 am
Filing a Complaint Against your Brokerage Firm 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 Aug 2012, 9:59 pm
Last month, the Financial Industry Regulatory Authority, the Securities and Exchange Commission and other regulators reportedly initiated inquiries into the fund sales practices of JPMorgan. [read post]
8 Mar 2018, 6:57 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]
24 Apr 2013, 11:22 am
Brokerage firms that sell these types of investments are required by the Financial Industry Regulatory Authority (FINRA) to perform adequate due diligence to ensure that the investment has a reasonable likelihood of success. [read post]
26 May 2011, 5:50 am
In the presence of specific market failures, measures designed to ameliorate market functioning (e.g. adaptation of the regulatory framework or planning reforms) should be prioritized. [read post]
7 Aug 2022, 9:01 pm
The Basel Principles are intended “to accommodate a diverse range of banking systems” and to be applied “on a proportionate basis depending on the size, complexity and risk profile of the bank or banking sector for which the authority is responsible. [read post]
7 Oct 2022, 6:39 am
It is primarily focused on AI’s proliferation in human services, including hiring, education, healthcare provisioning, financial services access, commercial surveillance and more. [read post]
3 Jul 2019, 4:00 am
Authors too, need to know that they are writing for the publisher which will serve them best. [read post]
28 Feb 2011, 9:26 am
They suggest 4 possible avenues: 1) industry self-regulation; 2) Community Reinvestment Act reform; 3) CDFI Fund regulatory mandate; 4) additional federal investment to support innovation in nonfinancial performance measurement? [read post]
18 Mar 2010, 11:31 am
Records with the Financial Industry Regulatory Authority (FINRA) show a long and lengthy list of complaints and enforcement actions against Breard during the course of her investment career. [read post]
15 Oct 2007, 9:55 am
Leading with Professionalism - featuring Bo Short, author of The Foundation of Leadership; and Hallmarks of a Structured Settlement Professional - with NSSTA members Will Shapiro, Randy Simard, Alice Frisbee and Mike Kelly. [read post]
29 Sep 2010, 10:36 am
Financial exigencies embolden critics of markets to push their regulatory agenda. [read post]
14 Nov 2017, 9:30 pm
Austin contends that one financial market that requires protection from pump-and-dump schemes is the United States’ Over-the-Counter (OTC) Market, which is operated by the Financial Industry Regulatory Authority (FINRA). [read post]
9 Mar 2008, 8:35 pm
Chris lays out a detailed argument as to why current data (including that gleaned from SARs, which is not public information in any event) is not sufficient, and why more detailed reporting by financial institutions would give regulators, law enforcement agencies and regulatory authorities a better picture of the extent of identity theft, which financial institutions appear to be more vulnerable to the crime, where bank regulatory and law enforcement… [read post]
23 Oct 2017, 10:13 am
The proposals to regulate OTTs can be seen as a backhanded move to give the regulator the authority to demand the removal of content the military-run government considers illegal without waiting for a court order. [read post]
26 Apr 2017, 4:06 pm
Perhaps the more important question at this point is whether the D-CASB, and any regulatory changes it may spawn, are even necessary. [read post]
21 Feb 2010, 6:18 am
Last year, I stood here and spoke about the need for sustainable regulatory reform oriented towards investors. [read post]
12 Sep 2010, 10:56 am
Except as provided in this Part or in Public Health Law Article 2 Title II-D, a practitioner authorized to order clinical laboratory services, pharmacy services, radiation therapy services, or x-ray or imaging services may not make a referral for such services to a health care provider authorized to provide such services where such practitioner or immediate family member of such practitioner has a financial relationship with such health care provider. [read post]
31 Dec 2010, 8:41 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in October, November and December 2010: Michael Scott Silva, with Charles Schwab & Co., Inc. in Santa Rosa, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days in connection with the recommendation to a customer to… [read post]
