Search for: "Financial Industry Regulatory Authority"
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9 Nov 2021, 10:58 am
Pierre-Loïc Doulcet, Fellow, CodeX – The Stanford Center for Legal Informatics; Computable Contract Engineer, AXA CodeX Insurance Initiative Discussion Paper NOTE ON THE DISCUSSION PAPERS: The CodeX Insurance Initiative has invited leaders from industry, academia, and the regulatory community to contribute short papers describing the authors’ views on important issues relating to the application of computable contracting in the insurance industry.… [read post]
21 Sep 2020, 7:35 am
According to a Financial Industry Regulatory Authority (“FINRA”) letter of acceptance, waiver and consent Rodemer signed on March 23, 2020, Stifel terminated him for taking “money from a client account for his personal use without authorization. [read post]
28 Mar 2018, 9:30 pm
Councilors had started to use their broader authority to inhibit individuals from making withdrawals during a banking crisis while simultaneously maintaining extensive private financial relationships with those same banks. [read post]
16 Sep 2010, 8:31 am
The general tendency across CARICOM seems to favour a piecemeal approach to the region-wide legal regulation of matters to do with the CSME and it would be a wasted opportunity for Guyana should it not seize the chance, to set the trend of thorough, rigorous construction of substantial and holistic legal regulatory mechanisms, which incorporate dispute resolution fora comprising competent, expert authorities. [read post]
21 Dec 2020, 11:18 am
§ 20-410 “impliedly amended” the state automobile financial responsibility laws that required the issuance of an automobile certificate of insurance by an authorized insurer. [read post]
29 Oct 2020, 7:36 am
“This review would look at the roles of industry self-regulation, regulators and the government and consider whether the balance is right in promoting competition, innovation, efficiency, resilience and stability of the system. [read post]
6 Jun 2018, 5:46 pm
Many of the companies at the top of the list for total payouts are in the financial services industry, including Bank of America ($381 million); Wells Fargo ($250 million); JP Morgan Chase ($160 million) and State Farm Insurance ($140 million). [read post]
1 Apr 2015, 7:03 am
Q: will there be regulatory forbearance? [read post]
23 Mar 2024, 5:31 am
Traditional financial metrics often overlook the less tangible, yet equally valuable, benefits of robust data governance—enhanced decision-making, compliance improvements, and reduced risk of data breaches. [read post]
2 Sep 2007, 5:33 am
• Have FINRA (Financial Industry Regulatory Authority Inc) send a notice to members that clearly delineates what the reporting standards are for investment firms so that filings will be accurate. [read post]
28 Dec 2011, 3:18 pm
It argued that the reality of the modern securities industry is such that a coordinated national approach to regulation is required in order to adequately protect investors and to ensure the integrity and stability of the financial system. [read post]
10 Apr 2015, 6:14 am
Recently, The Financial Industry Regulatory Authority (FINRA) sanctioned and barred Anderson’s supervisor Terry Bagwell (Bagwell) in all supervisory capacities. [read post]
19 Dec 2022, 6:49 am
Be on the alert when the investment firm… Claims that this is a no/low-risk, high-reward opportunity (All stock investing has some risk, and that’s even more true for stock not yet on the market) Has sales being made by unregistered professionals Is using aggressive sales tactics that don’t give investors the time to research (or even think about) the investment Provides sales documents that have typos or other errors (Legitimate sales have an official private placement… [read post]
16 Mar 2022, 11:55 am
The bill would provide the FTC with rulemaking authority, and the FTC would be empowered to enforce violations through its Section 5 authority. [read post]
26 Feb 2012, 10:19 am
The Authority worries that the financial burden of such claims could make regulation impossible, or at least call into question the validity of existing permits. [read post]
10 May 2012, 9:12 am
Funding portals must become members of a national securities association registered under Exchange Act Section 15A; funding portals must therefore become members of the Financial Industry Regulatory Authority (FINRA), as FINRA is the only such organization. [read post]
28 Jun 2018, 10:05 am
Free Consultation The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
6 Apr 2021, 6:26 am
Regulatory authorities such as the SEC and FINRA have steadily heightened the supervisory obligations of brokerage firms in recent years. [read post]
29 Dec 2017, 7:51 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]
10 Oct 2017, 7:41 am
Free Consultation The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
