Search for: "Financial Industry Regulatory Authority"
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27 Dec 2012, 4:35 am
Stamer also works extensively with management, service provider and other clients to monitor legislative and regulatory developments and to deal with Congressional and state legislators, regulators, and enforcement officials about regulatory, investigatory or enforcement concerns. [read post]
25 Dec 2012, 9:30 pm
The United States, like other industrialized countries, achieves this balance via patents. [read post]
23 Dec 2012, 8:26 am
Now, as we approach HITECH’s four year anniversary in February, the industry is again speculating that release of the final rule will be before year end. [read post]
21 Dec 2012, 10:07 am
Inc. recently suffered another significant securities arbitration loss when a Financial Industry Regulatory Authority Inc. panel issued a $1.38 million award to an investor, whose complaint stemmed from Morgan Keegan’s proprietary bond funds that blew up during the credit crisis. [read post]
21 Dec 2012, 12:27 am
Effective policies, training, good tone at the top, and general supervisory authority are just a start. [read post]
3 Dec 2012, 7:02 am
Although the Financial Industry Regulatory Authority (FINRA) has issued several investor alerts on non-traded real estate investment trusts (REITs), like the Behringer Harvard Strategic Opportunity Fund, calling attention to the unique risks, features and fees of the products, these alerts have not slowed the sale of these products to investors. [read post]
30 Nov 2012, 10:04 am
The Financial Industry Regulatory Authority is considering a rule change that would require firms to disclose brokers’ recruitment compensation packages to transferring customers. [read post]
30 Nov 2012, 8:24 am
Nelson is a senior associate in the Financial Services Regulatory Group at Reed Smith LLP, resident in the Princeton and New York offices. [read post]
27 Nov 2012, 9:30 pm
” He also expressed confidence in Walter, a former senior executive vice president at the Financial Industry Regulatory Authority (FINRA) and one of the SEC’s two Democratic Commissioners. [read post]
26 Nov 2012, 6:29 pm
According to Financial Industry Regulatory Authority EVP Susan Axelrod, the SRO’s examiners are reporting an increase in how many brokers appear to be taking part in questionable actions outside their firms or improperly selling securities. [read post]
21 Nov 2012, 5:06 pm
In the aftermath of the global financial crisis as well as the Madoff scandal, regulators around the world have increased oversight of the industry to restore investor confidence and avoid a build-up of systemic risks in the industry. [read post]
20 Nov 2012, 9:01 pm
For instance, much financial regulation aims to prevent corporate officers and executives from making wild gambles with other people’s money. [read post]
20 Nov 2012, 12:54 pm
Stamer also works extensively with management, service provider and other clients to monitor legislative and regulatory developments and to deal with Congressional and state legislators, regulators, and enforcement officials concerning regulatory, investigatory or enforcement concerns. [read post]
19 Nov 2012, 8:02 pm
The paper’s preliminary findings are that: (1) Indian manufacturers are adopting or exploring a growing number of available and emerging technical options for room and vehicle air conditioning; (2) market and regulatory forces in other regions of the world are moving away from HFCs; and (3) the Indian government and international institutions have opportunities to assist Indian industries to profitably manage the transition by resolving policy uncertainties and providing… [read post]
16 Nov 2012, 3:00 am
What do financial auditors do for living? [read post]
15 Nov 2012, 2:54 pm
Oct. 23, 2012), a group of eighteen investors (“Garrett”) brought a claim of statutory and common-law fraud against Morgan Keegan & Company (“Morgan Keegan”) before an arbitration panel of the Financial Industry Regulatory Authority (“FINRA”). [read post]
15 Nov 2012, 12:19 am
At a minimum, I would argue that the theoretical justification that Sparks gives for the SEC’s authority Section 304 does not work as well when the clawback authority is extended beyond the officers responsible for financial statement certification. [read post]
14 Nov 2012, 8:58 am
In addition to enhanced access to care, there are important financial considerations that make urgent care a compelling investment opportunity. [read post]
14 Nov 2012, 8:58 am
In addition to enhanced access to care, there are important financial considerations that make urgent care a compelling investment opportunity. [read post]
14 Nov 2012, 8:58 am
In addition to enhanced access to care, there are important financial considerations that make urgent care a compelling investment opportunity. [read post]
