Search for: "Financial Industry Regulatory Authority"
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26 Aug 2021, 8:58 am
Financial Conduct Authority (FCA) following a four-month review. [read post]
26 Aug 2021, 8:58 am
Financial Conduct Authority (FCA) following a four-month review. [read post]
11 Feb 2022, 12:21 pm
Ross presents a question of voting rights in special regulatory elections. [read post]
16 Nov 2016, 9:30 pm
In order to help prevent such dramatic, unexpected Treasury market movement in the future, the Financial Industry Regulatory Authority (FINRA)—a government-sponsored private regulatory authority, responsible for regulating brokerages and stock exchanges and maintaining market fairness—recently adopted a proposed rule that will mandate new reporting requirements for transactions in Treasury securities. [read post]
19 May 2015, 8:05 am
Practical GuidanceThis is an aggregation of legacy BNA products including their 90 practice portfolios and new “in practice” training guides authored by attorneys. [read post]
2 May 2011, 11:23 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in January, February, March and April 2011: Michael Timothy Rodman, with USA Advanced Planners, Inc. in Rancho Santa Fe, California, was suspended from association with any FINRA member for 10 business days in connection with the execution of variable life settlement transactions… [read post]
30 May 2018, 11:24 am
The updated bill will now go to the full Senate; the House’s version of the bill passed through the House Financial Services Committee last week. [read post]
15 Dec 2011, 12:22 am
At the same time, governments around the world have responded to the recent financial crisis by bolstering their regulatory capability. [read post]
27 May 2015, 3:36 am
The live sector remains strong, although research suggests small venues are under considerable pressure, both financially and regulatory. [read post]
4 Apr 2024, 9:05 pm
Some may infer that the increase in corporate financial penalties has become the new industry tactic to avoid prosecution and prison time. [read post]
25 Nov 2019, 5:51 pm
Advisor Robert Smith (Smith), according to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), has been accused of selling GPB Capital. [read post]
8 Dec 2019, 2:18 pm
Advisor Luke Johnson (Johnson), according to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), has been accused of selling GPB Capital. [read post]
4 Aug 2008, 8:55 pm
The Financial Industry Regulatory Authority (FINRA) and other regulatory agencies recognize this as a growing problem and are investigating firms such as Morgan Stanley, InterSecurities, Securities America and Citigroup for inappropriate conduct in this area.. [read post]
6 Sep 2022, 9:03 am
Contact Silver Law Group Silver Law Group represents investors in claims against companies for misconduct relating to improper investments, misrepresentation of fact and fraud in the sale of private placements and claims against financial advisors before the Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit that oversees broker-dealers. [read post]
26 Jul 2018, 11:40 am
Hayes entered the securities industry in 2005. [read post]
28 Mar 2017, 5:18 pm
Nine of Dean’s customers filed Financial Industry Regulatory Authority arbitrations or complaints against him. [read post]
20 Apr 2012, 9:28 pm
The Derivatives Project also believes that there are deficiencies in the Financial Industry Regulatory Authority’s enforcement structure and that this has led to securities law violations. [read post]
18 Oct 2023, 7:36 pm
It becomes first a pathway for transmitting international standards onto the regulatory environment of administrative supervision without recourse of legislation (or than a general provision empowering the delegation of this regulatory and administrative projects to an un-elected bureaucracy. [read post]
29 Oct 2013, 4:33 pm
The proposed regulations prescribe a rigorous registration process for portals, handled by both the SEC and the Financial Industry Regulatory Authority (“FINRA”), Wall Street’s self-policing body. [read post]
10 Nov 2012, 1:35 pm
Two years later, they became involved in a dispute over this arrangement and they sought resolution via a Financial Industry Regulatory Authority arbitration panel, which refused to have the venue in Texas. [read post]
