Search for: "Financial Industry Regulatory Authority"
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1 Sep 2024, 10:48 am
Various industry groups, including the U.S. [read post]
12 Oct 2017, 12:30 pm
FINRA is the Financial Industry Regulatory Authority. [read post]
29 Dec 2016, 2:18 pm
The fitness center alleged that FRS intentionally misused customers’ private financial information, which interfered with FRS’s business dealings. [read post]
21 Jul 2015, 9:30 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) is one of the most significant regulatory reforms in the financial industry since the passing of the Securities Acts of 1933 and 1934, which instituted thorough registration and reporting requirements for publically traded companies in the wake of the Great Depression. [read post]
23 Sep 2018, 4:03 pm
Consider the spectacle of having anti-tobacco activists and tobacco plaintiffs’ expert witnesses assert that the American Law Institute had an ethical problem because Institute members included some tobacco defense lawyers.1 Somehow these authors overlooked their own positional and financial conflicts, as well as the obvious fact that the Institute’s members included some tobacco plaintiffs’ lawyers. [read post]
8 Dec 2010, 4:57 am
Compiled from online public domain resources, provided for your review/use is this week's update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and announcements. [read post]
17 Jun 2020, 12:06 pm
Industries such as healthcare, government contracting, and financial institutions especially should be wary because they are heavily regulated and frequently targeted by qui tam whistleblowers. [read post]
6 May 2022, 8:10 am
Furthermore, competing regulatory frameworks and legal grey zones can lead to security researchers facing gagging orders, fines, or even imprisonment. [read post]
9 Jan 2017, 9:01 pm
Last week Chief Justice John Roberts recused himself from a patent case that was argued in December when he discovered that his financial holdings created a potential bias. [read post]
25 Nov 2013, 12:12 am
In May 2011, the Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against DLA (subsequently amended to include David Lerner individually). [read post]
27 Sep 2014, 8:10 am
For the TTP see, "The Trans-Pacific Partnership: Japan, China, the U.S. and the Emerging Shape of a New World Trade Regulatory Order". [read post]
16 Jan 2012, 4:42 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) for the period September through December 2011: September 2011 John-Eric Bonilla, formerly with U.S. [read post]
23 Mar 2018, 9:47 am
Department of Labor represents a major victory for industry participants. [read post]
25 Feb 2020, 4:02 pm
In addition to her public and regulatory policy involvement, Ms. [read post]
25 Feb 2020, 4:17 pm
In addition to her public and regulatory policy involvement, Ms. [read post]
26 Jan 2024, 3:44 am
Background This consultation is the culmination of PRA interest in exit plan requirements for insurers flagged throughout its 2023 market correspondence and highlighted as a regulatory priority for insurance supervision in the PRA’s 2024 Dear CEO Letter. [read post]
27 Nov 2023, 9:00 am
In 1935, the Supreme Court dismissed the very idea that "Congress could delegate its legislative authority to trade or industrial associations or groups so as to empower them to enact the laws they deem to be wise and beneficent for the rehabilitation and expansion of their trade or industries. [read post]
1 Jul 2013, 1:04 pm
” Brokers that create a false impression of an investment or mislead their clients may be in violation of securities law enforced by the Financial Industry Regulatory Authority (FINRA). [read post]
13 Apr 2020, 11:29 am
., signed a Financial Industry Regulatory Authority (“FINRA”) Letter of Acceptance, Waiver and Consent, agreeing to a fine of $5,000 and 30 day suspension for using WhatsApp Messenger to “conduct securities-related business with three Firm customers. [read post]
12 Oct 2017, 11:54 am
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a Financial Industry Regulatory Authority (FINRA) arbitration claim. [read post]
