Search for: "Financial Industry Regulatory Authority"
Results 8401 - 8420
of 11,238
Sorted by Relevance
|
Sort by Date
6 Aug 2009, 1:43 pm
" The Financial Industry Regulatory Authority (FINRA) has come out with a regulatory notice saying, in effect, that Leveraged ETFs are unsuitable for most investors. [read post]
18 May 2010, 3:20 pm
The Financial Industry Regulatory Authority (“FINRA”), which is charged with policing broker sales practices, said in a recent Regulatory Notice: “These firms should be prepared to demonstrate the basis for allowing investors with accounts not approved for trading options to purchase reverse convertibles. [read post]
29 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]
22 Nov 2017, 10:38 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, 10:58 am
Potential Lawsuits to Recover Investment Losses Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment, prior to making recommendations to an individual investor. [read post]
13 Sep 2009, 2:36 am
The principal difference in Satyam's case was that there were no whistles blown earlier on or investigations commenced by regulatory authorities that ought to have opened up the can of worms. [read post]
6 Jan 2018, 7:32 am
SWF money could prop up failing markets in the West,[5] but it could also be used to control Western apex corporations,[6] and thus indirectly threaten the authority of Western states—that was the essence of the fear at the time of the Great Recession of 2008.[7] And how to soothe this beast? [read post]
24 Jan 2011, 9:21 am
More specifically, the study said that the standard should provide that the broker or adviser must act in the best interest of the customer without regard to the financial or other interest of the broker or investment adviser providing the advice.In a separate statement, Commissioners Kathleen Casey and Troy Paredes opposing sending the staff study to Congress as drafted because it does not fulfill the mandate of Section 913 to evaluate the effectiveness of existing legal or… [read post]
29 Mar 2023, 9:01 pm
We do not accept donations from either government or industry. [read post]
4 Jan 2010, 9:01 pm
Click Here LAWSUITS AND ADMINISTRATIVE ACTIONS FILED EPA’s regulatory grab invites court challenge. [read post]
21 May 2010, 4:30 pm
The Financial Industry Regulatory Authority (FINRA) has accused the Lerner firm of charging excessive markups on normally-safe municipal bonds and high-grade mortgage backed securities. [read post]
26 Aug 2012, 10:05 am
The Financial Industry Regulatory Authority (“FINRA”) has provided helpful insight to consumers regarding understanding brokerage statements and the importance of the information contained in those statements. [read post]
17 Mar 2011, 9:39 am
Section 922 of the Act, among other things, confers jurisdiction on the courts, rather than to a Financial Industry Regulatory Authority (FINRA) arbitration panel, by voiding arbitration provisions in employment agreements that purport to force an employee to arbitrate, rather than litigate disputes arising under Section 806 of SOX. [read post]
9 May 2011, 12:55 pm
ACAMS 2011 Conference Highlights Plenary Sessions Leading international AML/CTF authorities have agreed to share critical intelligence and proven best practices to combat financial crime. [read post]
16 Mar 2009, 2:50 pm
If the reporting for any claimant is not done in a timely manner, MMSEA authorizes CMS to enforce a civil penalty of $1000 per day. [read post]
12 Jun 2012, 2:00 am
Many believe that if this route is taken, it is likely that the Financial Regulatory Authority (FINRA) would be the designated SRO for such registrants. [read post]
29 Apr 2020, 11:57 am
Scott represents clients throughout the U.S. and elsewhere in the world in litigation and in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the American Arbitration Association (AAA). [read post]
7 Dec 2010, 5:00 am
Industries and companies are saying “not me” and saying that others should be included. [read post]
13 Mar 2012, 1:02 pm
The Financial Industry Regulatory Authority (FINRA), a self-regulatory agency responsible in large part for the oversight of sellers of private placement investments, has issued a number of guidelines and requirements for private placement brokers and has also issued a number of investor alerts designed to protect trusting investors from private placement scams. [read post]
20 Oct 2023, 2:40 pm
The Audit Rule requires RIAs to obtain annual audited financial statements for each of its fund clients. [read post]
