Search for: "Financial Industry Regulatory Authority"
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5 Mar 2013, 8:34 am
The Financial Industry Regulatory Authority ("FINRA") requires brokers only to "know your customers" and make suitable recommendations. [read post]
4 Mar 2013, 9:35 am
Financial Industry Regulatory Authority (FINRA) Rules require that under certain circumstances, recommendations must also be suitable when made to institutional customers. [read post]
3 Mar 2013, 9:30 pm
This post draws on the authors’ book, with Stacey McMorrow, Insurance and Behavioral Economics: Improving Decisions in the Most Misunderstood Industry. [read post]
3 Mar 2013, 9:18 am
The Financial Industry Regulatory Authority's (FINRA's) enforcement department charged Schwab with violating its rules by restricting consumers' class-action and arbitration rights. [read post]
1 Mar 2013, 3:12 pm
The circuit court found the arbitration agreement between the parties designated the National Association of Securities Dealers (NASD) as an exclusive arbitral forum, the NASD was unavailable to arbitrate because it no longer existed, and the court could not substitute the Financial Industry Regulatory Authority (FINRA) for NASD. [read post]
1 Mar 2013, 9:11 am
FINRA, the Financial Industry Regulatory Authority, Inc., who regulates brokerages such as Schwab didn't like it so it sued Schwab. [read post]
1 Mar 2013, 4:11 am
FINRA, the Financial Industry Regulatory Authority, Inc., who regulates brokerages such as Schwab didn’t like it so it sued Schwab. [read post]
1 Mar 2013, 4:11 am
FINRA, the Financial Industry Regulatory Authority, Inc., who regulates brokerages such as Schwab didn’t like it so it sued Schwab. [read post]
28 Feb 2013, 11:58 am
Bogo A Financial Industry Regulatory Authority (“FINRA”) hearing panel held that FINRA’s own rules prohibiting judicial class action waivers in broker-dealer customer arbitration agreements are preempted by the Federal Arbitration Act and unenforceable. [read post]
28 Feb 2013, 10:42 am
A recent ruling by a hearing panel of the Financial Industry Regulatory Authority (“FINRA”) could provide a path to effectively kill customer class actions against brokers. [read post]
25 Feb 2013, 3:16 pm
The only problem with this scheme was that it blatantly violated rules of the Financial Industry Regulatory Authority (FINRA), the brokerage industry’s self-regulatory organization. [read post]
25 Feb 2013, 1:43 pm
The NEP examines all regulated entities, such as investment advisers and investment companies, broker dealers, transfer agents and self-regulatory organizations, and exchanges. [read post]
25 Feb 2013, 7:49 am
Posted by Gerald FergusonCo-Authored by: Theodore J. [read post]
23 Feb 2013, 5:00 pm
In its first-ever complaint against a mobile device or application developer, the FTC charged HTC America failed to incorporate and administer appropriate safeguards for personal financial and other sensitive data accessed and used in these applications when designing or customizing the software on its mobile devices. [read post]
22 Feb 2013, 6:53 am
Broker-dealers and investment advisors are required by the Financial Industry Regulatory Authority (FINRA) to demonstrate sufficient due diligence on any particular investment offering. [read post]
21 Feb 2013, 7:00 am
The SEC agreed to a proposed change to the Financial Industry Regulatory Authority's arbitration rules relating to subpoenas and orders directed towards non-party FINRA members and their associated persons. [read post]
20 Feb 2013, 9:23 am
The 2010 Dodd-Frank Act empowered the SEC to study the use of mandatory arbitration in the securities industry and consider whether to ban regulated firms from imposing mandatory arbitration on customers. [read post]
19 Feb 2013, 10:50 am
Her insights on HIPAA risk management and compliance frequently appear in medical privacy related publications of a broad range of health care, health plan and other industry publications Among others, she has conducted privacy training for the Association of State & Territorial Health Plans (ASTHO), the Los Angeles Health Department, the American Bar Association, the Health Care Compliance Association, a multitude of health industry, health plan, insurance and… [read post]
17 Feb 2013, 2:26 pm
Rather than seek legislation that would clarify the trust’s investment authority, the Association leadership sought regulatory permission to allow the master trust to embark on the path of investment diversification. [read post]
15 Feb 2013, 2:09 pm
No one knows for sure when rates will begin to rise, but the Financial Industry Regulatory Authority must be worrying that the day isn’t far off. [read post]
