Search for: "Financial Industry Regulatory Authority"
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15 Feb 2013, 6:02 am
On January 21, 2013, the International Organization of Securities Commissions (IOSCO), of which the Financial Industry Regulatory Authority, Inc. is an affiliate member, published its final report on Suitability Requirements With Respect to the Distribution of Complex Financial Products. [read post]
13 Feb 2013, 4:05 pm
Bevilacqua On January 10, 2013 the Financial Industry Regulatory Authority (“FINRA”) issued a voluntary Interim Form for funding portals (the “Interim Form”). [read post]
13 Feb 2013, 4:18 am
The expanded effort will be called “Enhanced Cybersecurity Services” and will seek to involve industry participation from critical infrastructure sectors such as utilities, telecommunications and financial services. [read post]
13 Feb 2013, 4:18 am
The expanded effort will be called “Enhanced Cybersecurity Services” and will seek to involve industry participation from critical infrastructure sectors such as utilities, telecommunications and financial services. [read post]
12 Feb 2013, 9:30 pm
Network industries have been national monopolies for decades, so introducing competition in these sectors has been anything but easy. [read post]
12 Feb 2013, 11:44 am
The 18-page report authored by Nicole T. [read post]
11 Feb 2013, 3:12 pm
Sladek did not have a financial interest in the application. [read post]
11 Feb 2013, 12:05 pm
The SEC announced the opening of registration for its National Compliance Outreach Program for Broker-Dealers that will take place in Washington D.C. on April 9.The event is sponsored by the SEC's Office of Compliance Inspections and Examinations in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA). [read post]
11 Feb 2013, 9:33 am
For a full description of the senior unsecured loan between Dividend Capital and Wells Fargo bank visit: http://www.sec.gov/Archives/edgar/data/1327978/000119312510188067/d10q.htm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
10 Feb 2013, 10:08 pm
Third, the authors conducted a series of interviews with key stakeholders in from post-secondary institutions, government, industry, organized labour, and young people themselves. [read post]
10 Feb 2013, 10:03 am
P.211)Transnational actors can act as “self-regulating” entities, which are able to create and set new inter-systemic harmonized regulatory frameworks throughout their operations as well as within their industry. [read post]
8 Feb 2013, 7:42 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
8 Feb 2013, 7:00 am
See Financial Industry Regulatory Authority, SEC No-Action Letter, (12/10/12), and http://sec.gov/divisions/marketreg/mr-noaction/2012/finra-121012-15c3-1.pdf. [read post]
7 Feb 2013, 9:41 am
On February 6, 2013, the Financial Industry Regulatory Authority (FINRA) announced that a public customer was awarded an award of full rescission against Wachovia Securities, LLC, doing business as Wells Fargo Advisors, LLC ("Wells Fargo") for the entirety of Fannie Mae Preferred shares recommended by Wells Fargo. [read post]
5 Feb 2013, 1:41 pm
The Promoting and Regulating Fee-Based Advice on Financial Instruments Act represents an additional building block in the new regulatory framework for financial markets and strengthens the rights of investors. [read post]
5 Feb 2013, 9:55 am
According to reports, the Financial Industry Regulatory Authority’s municipal market priority this year will be to ensure that brokers/financial advisors adequately disclose the risks associated with tax-exempt bonds backed by revenue from private and nonprofit entities. [read post]
5 Feb 2013, 7:30 am
Representative events include: the Dow Jones Private Equity Advisor’s Conference; the National Association of Criminal Defense Lawyers – Stetson University Law School’s “White Collar Crime College;” American University’s Washington College of Law Summer Program in International Commercial Arbitration; American Bar Association Construction Law Institute; and Financial Industry Regulatory Authority’s Basic and… [read post]
5 Feb 2013, 7:15 am
In January, a panel of the United States 4th Circuit Court of Appeals held that Carilion Clinic was a customer of UBS AG and Citigroup, Inc. pursuant to the Financial Industry Regulatory Authority‘s (FINRA) securities arbitration rules. [read post]
4 Feb 2013, 7:08 pm
Other changes were in the chapters relating to Employment and Industrial Relations. [read post]
2 Feb 2013, 7:24 pm
The Convention of the OECD provides useful snapshot of its purposes and the scope of its authority. [read post]
