Search for: "Financial Industry Regulatory Authority"
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19 Jun 2023, 7:22 am
Governmental authority has shaped the broadcast industry in terms of invention, competition, and content, including how it serves local communities with news and information. [read post]
17 Jun 2023, 3:40 am
The SEC and the Financial Industry Regulatory Authority (FINRA) on Tuesday again cautioned investors allocating to alternative assets in self-directed individual retirement accounts (IRAs), highlighting crypto as a risk. [read post]
17 Jun 2023, 2:19 am
[1/2] Signage is seen outside of the Financial Industry Regulatory Authority (FINRA) offices in Manhattan, New York City, U.S., September 11, 2020. [read post]
17 Jun 2023, 2:03 am
March 2, 2023 Practices: Asset Management The Financial Industry Regulatory Authority Inc. [read post]
17 Jun 2023, 12:31 am
The Financial Industry Regulatory Authority Inc. said Tuesday that it had penalized Morgan Stanley $698,000 for several years of failing to supervise brokers’ sales of high-risk securities, including a Chinese telecom stock. [read post]
16 Jun 2023, 11:24 pm
WASHINGTON—March 8, 2023—Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2022. [read post]
16 Jun 2023, 9:05 pm
In their report, Yap and her coauthors examined the legal authority of the Appraisal Foundation, a private nonprofit that serves as the source of appraisal standards and appraiser qualifications, as authorized by the Financial Institutions Reform, Recovery, and Enforcement Act. [read post]
16 Jun 2023, 8:19 pm
The Financial Industry Regulatory Authority has censured LPL Financial and imposed a fine of $150,000, charging that the firm failed to supervise one of its affiliated brokers whose outside dealings cost LPL customers more than $650,000. [read post]
16 Jun 2023, 1:54 pm
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor, Andrew Komarow, whose practice focused on special needs and autism, after he failed to cooperate in a Finra investigation in the wake of being accused by his firm last year of not using electronic transfers of funds properly. [read post]
16 Jun 2023, 1:03 pm
The Financial Industry Regulatory Authority (Finra) has slammed a former Hightower executive with a one-year suspension for allegedly charging more than $6,000 in personal expenses to the company. [read post]
16 Jun 2023, 12:12 pm
While the Financial Industry Regulatory Authority is increasing the number of on-site exams it conducts, examiners will spend less time on-site, according to FINRA officials. [read post]
16 Jun 2023, 5:04 am
The Financial Industry Regulatory Authority (Finra) has fined five wealth management firms a combined $185,000 for various violations of Regulation Best Interest (Reg BI) and Customer Relationship Summary (CRS) rules. [read post]
15 Jun 2023, 9:05 pm
The draft proposal (a more detailed summary of which can be found here) would resolve several fundamental regulatory questions about jurisdictional authority over cryptoasset markets — dividing authority between the CFTC and the SEC based on functional standards — and facilitate, through a tailored regime, compliant capital formation and trading activity. [read post]
15 Jun 2023, 5:45 pm
Morgan Securities was censured and fined $200,000 by the Financial Industry Regulatory Authority for failing to reasonably investigate and address “red flags” of potential misconduct that snowballed into a high-profile $19 million arbitration award issued in February of last year. [read post]
15 Jun 2023, 1:30 pm
” If enacted, the SEC would have 180 days to establish the exam, and 180 days after that for the Financial Industry Regulatory Authority (FINRA) to begin administering and offering the exam to the public free of charge. [read post]
15 Jun 2023, 1:23 pm
A Glimpse of Future Regulatory Landscape? [read post]
15 Jun 2023, 4:49 am
“Last year, the Committee on Financial Services sent a letter to Chair Gensler expressing our concern that the Commission’s attempt to expand the definition of an exchange to include ‘Communication Protocol Systems’ exceeded its statutory authority,” wrote Patrick McHenry (R-N.C.), chairman of the House Committee on Financial Services, and French Hill (R-Ark.), the committee vice chairman. [read post]
14 Jun 2023, 6:38 pm
(OTC-PINK: AFOM) ("AFOM" or the "Company") today announced the previously anticipated effective date of its 1-for-2,854 reverse split has been extended awaiting approval of the corporate action by the Financial Industry Regulatory Authority (FINRA). [read post]
14 Jun 2023, 11:28 am
This is commonly referred to as the “offshore” finance industry, a network of firms and providers that enable financial crime, corruption, and tax evasion on a global scale. [read post]
14 Jun 2023, 10:04 am
The Securities and Exchange Commission has approved a Financial Industry Regulatory Authority rule that makes it tougher for brokers to clear client disputes from their records. [read post]
