Search for: "Financial Industry Regulatory Authority"
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25 Mar 2013, 9:01 pm
The US Treasury and the European Central Bank Have Started to Take Aim at Bitcoin and Other Virtual Currencies On March 18, the Financial Crimes Enforcement Networ (FinCEN), which is part of the US Department of Treasury, issued a notice entitled “Application of FinCEN’s Regulations to Persons Adminstering, Exchanging, or Using Virtual Currencies. [read post]
24 Mar 2013, 6:04 am
Three new bodies will be formed under the Act: the Financial Policy Committee ("FPC"), the Prudential Regulatory Authority ("PRA") and the Financial Conduct Authority ("FCA"). [read post]
20 Mar 2013, 12:39 pm
Most securities arbitrations take place under the rules of the Financial Industry Regulatory Authority (FINRA), as virtually all brokerage firms require members to arbitrate customer complaints upon the customer's request and then create customer agreements containing arbitration clauses. [read post]
20 Mar 2013, 11:45 am
Regulators, including the Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA) are reviewing trading of high-frequency firms to determine if they are engaging in prohibited transactions, such as "wash" trades. [read post]
19 Mar 2013, 6:21 pm
As such it represents global regulatory power in its current form. [read post]
19 Mar 2013, 9:39 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Mark David Hurwitz submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Mar 2013, 7:49 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Donahue Edwin Jones submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Mar 2013, 7:39 am
The Financial Industry Regulatory Authority, (FINRA) issued a news release on March 4, 2013 announcing that it had fined Ameriprise Financing Services, Inc. and its affiliated clearing form American Enterprise Investment Services, Inc [read post]
18 Mar 2013, 9:30 pm
The JOBS Act includes a requirement that the Financial Industry Regulatory Authority (FINRA), a non-governmental organization, set forth its own guidelines for crowdfunding portals. [read post]
18 Mar 2013, 3:22 pm
In that edition of "IM Guidance Update", the SEC focused on clarifying filing and disclosure requirements associated with investment companies' use of social media, identifying several types of electronic communications and materials on investment companies' websites that are not required to be filed for review by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Mar 2013, 1:19 pm
According to the Financial Industry Regulatory Authority (FINRA) rules, broker-dealer are required to make suitable recommendations that are consistent with an investors age, liquidity needs, financial objective, and risk tolerance to name a few factors In addition broker-dealers must perform an adequate investigation of the investment and demonstrate due diligence when making recommendations. [read post]
16 Mar 2013, 3:21 am
In response to the filing of a Complaint on July 10, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA”), Respondent Phillips Wiegand, Jr. [read post]
14 Mar 2013, 8:25 am
The Financial Industry Regulatory Authority (FINRA) issued a news release on March 7, 2013 announcing that it had permanently barred Mr. [read post]
14 Mar 2013, 5:30 am
“Health and safety is not an unnecessary, regulatory burden. [read post]
13 Mar 2013, 12:42 pm
Malecki in an educational video clip about the arbitration process at FINRA, the Financial Regulatory Authority. [read post]
12 Mar 2013, 10:24 pm
The general awareness of D&O related liability risks amongst the Indian corporate sector and the financial services industry has given an opportunity to the Indian insurance industry to provide insurance solutions to cater to the need of their clients. [read post]
10 Mar 2013, 9:30 pm
Politicians generate regulations in response to crises ranging from industrial disasters to financial collapses. [read post]
10 Mar 2013, 10:07 am
Relying upon misclassifications of workers as nonemployed service providers presents many financial, legal and operational risks for businesses. [read post]
6 Mar 2013, 7:00 am
A Financial Industry Regulatory Authority (FINRA) panel has stated broker-dealer Charles Schwab may enforce a class action waiver included in its customer arbitration agreement despite the existence of a FINRA rule that prohibits such waivers. [read post]
5 Mar 2013, 11:42 am
On February 21, 2013, a Financial Industry Regulatory Authority (FINRA) disciplinary hearing panel permitted Charles Schwab & Company, Inc. to maintain its predispute arbitration provision in its customer agreement that includes a class action waiver (pdf). [read post]
