Search for: "Financial Industry Regulatory Authority"
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6 Apr 2010, 3:59 pm
Author Karen Wolfe, BSN, MA, MBA. [read post]
29 Jul 2014, 4:21 pm
Most importantly, it codifies an authority that is now highly contested, and it pushes back a scheduled sunset of that authority that is approaching rather quickly. [read post]
1 Jul 2007, 8:10 pm
Some industry observers had viewed the ILC issue as an opportunity for the agency to bulk up its regulatory influence by adding such mega-companies as Wal-Mart to its portfolio. [read post]
13 Feb 2012, 7:26 am
Wrynn played a key role in developing national and international regulations and policies governing the insurance industry. [read post]
24 Feb 2019, 2:44 pm
As a result, in developing legislation, the GAO opined, Congress must strike the appropriate balance between these competing tensions, and consider issues such as: the proper agency to oversee internet privacy; what authorities an agency (or agencies) should have to oversee internet policy, including notice-and-comment rulemaking authority and first-time violation civil penalty authority; and the appropriate balance between consumer privacy and the… [read post]
11 Feb 2008, 8:39 pm
We have an expert staff that has a unique understanding of the financial services and mortgage industries. [read post]
11 Apr 2021, 6:56 pm
Background Gary Wunderlich founded Wunderlich Investment Company, Inc. and parent Wunderlich Securities, Inc. in 1996 and sold them to Riley in May 2017 but two months later investment and merchant banking firm Dominick & Dickerman LLC brought an arbitration proceeding against Wunderlich and his two companies in the Financial Industry Regulatory Authority. [read post]
3 Jan 2012, 9:21 pm
Carey has over 25 years of experience in the financial services and retirement industry. [read post]
7 Feb 2024, 5:34 am
Morgan voluntarily reported numerous disputes to the Financial Industry Regulatory Authority (FINRA), as required by FINRA Rule 4530. [read post]
18 Mar 2024, 3:54 am
The Commission is asked to conduct a thorough assessment to identify areas in which regulatory burdens for the EU’s financial sector could be reduced, and to ensure that new legislative initiatives concerning financial services are always based on impact assessments in line with agreed principles for better regulation. [read post]
22 Mar 2010, 6:06 am
Chinese investors have ploughed billions into the US economy, particularly in the financial industry. [read post]
Broker Farrukh Kazmi Faces Allegations of Unsuitable Investment Recommendation and Misrepresentation
1 Apr 2021, 7:35 am
The firm is a member firm of the Financial Industry Regulatory Authority (FINRA) and Kazmi has been registered with the firm since January 5, 2010. [read post]
14 Dec 2010, 10:43 am
andnbsp; The regulators, or self-regulatory authority, now known as the Financial Industry Regulatory Authority, or FINRA, of which Morgan Stanley is a member, based upon this conduct, andquot;censuredandquot; Winitch and suspended him for a period of five years, meaning that in five years, after falsifying new account documents, and basically stealing from the accounts of disabled children, Winitch is free to be a stockbroker and a fiduciary… [read post]
Broker Farrukh Kazmi Faces Allegations of Unsuitable Investment Recommendation and Misrepresentation
1 Apr 2021, 7:35 am
The firm is a member firm of the Financial Industry Regulatory Authority (FINRA) and Kazmi has been registered with the firm since January 5, 2010. [read post]
3 Feb 2023, 12:40 pm
The Heroes Act, first enacted in the wake of the 9/11 terrorist attacks and later extended to cover all those serving in the military and persons affected by national emergencies, allows the secretary of education to “waive or modify any statutory or regulatory provision applicable to” student aid programs administered by the Department of Education if “a national emergency” caused student borrowers to be “placed in a worse position financially. [read post]
7 May 2009, 2:17 pm
Schapiro, previously the chief executive of the private-sector Financial Industry Regulatory Authority, says the shackles are now off and that the proof will be in the results. [read post]
30 Jul 2020, 7:41 am
He had been in the industry since 2009. [read post]
2 Nov 2023, 11:58 am
FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. [read post]
9 Feb 2010, 12:44 pm
The award was made on Dec. 23 and was posted recently on a website maintained by the Financial Industry Regulatory Authority. [read post]
5 Jul 2019, 7:36 am
With sixteen years in the securities industry beginning in 1989, Rinfret was previously a registered broker with 16 financial firms, including Seaboard Securities, Inc., which was expelled by the Financial Industry Regulatory Authority (FINRA) in 2011, Bear Stearns & Co., Prudential-Bach Securities, Rinfret Securities, Baird, Patrick, & Co,., and several others. [read post]
