Search for: "Financial Industry Regulatory Authority"
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13 Nov 2012, 11:54 am
McWood, 280 F.3d 1078 (6th Cir.andnbsp; 2002); UBS Financial Services Inc. v. [read post]
12 Nov 2012, 12:29 pm
If an organisation is non-compliant, the PDPC may impose a maximum financial penalty of S$1 million (USD $819,000). [read post]
10 Nov 2012, 1:35 pm
Two years later, they became involved in a dispute over this arrangement and they sought resolution via a Financial Industry Regulatory Authority arbitration panel, which refused to have the venue in Texas. [read post]
9 Nov 2012, 7:42 pm
The Financial Industry Regulatory Authority is now making its arbitration process available to all registered investment advisers. [read post]
2 Nov 2012, 11:52 am
S. 3468, Independent Agency Regulatory Analysis Act of 2012 Senators are also working to adjust the regulatory process to slow-down and derail implementation of Dodd-Frank’s overall rulemaking authority. [read post]
1 Nov 2012, 3:43 pm
Forbes has an interesting article regarding the recent FINRA arbitration Lehman Brothers Holdings v Adam David Sloan (FINRA Arbitration 11-01774, October 17, 2012): In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2011, Claimant Lehman Brothers sought to recover by the close of the hearing $357,142.86 in outstanding principal; $79,244.88 accrued interest; and $53,571.43 in collection… [read post]
31 Oct 2012, 1:37 pm
For example, SEC Chairman Mary Schapiro has been pushing for the additional reforms because she believes the money market mutual fund industry continues to be a threat to the financial system. [read post]
31 Oct 2012, 12:28 pm
The Financial Industry Regulatory Authority Inc. recently announced that it has opened up its arbitration system to registered investment advisers (RIAs). [read post]
31 Oct 2012, 12:28 pm
The Financial Industry Regulatory Authority Inc. recently announced that it has opened up its arbitration system to registered investment advisers (RIAs). [read post]
30 Oct 2012, 10:20 pm
According to FINRA, the Financial Industry Regulatory Authority, selling a non-traded REIT before the initial period is up can “be high-risk and erode total return. [read post]
30 Oct 2012, 10:20 pm
According to FINRA, the Financial Industry Regulatory Authority, selling a non-traded REIT before the initial period is up can “be high-risk and erode total return. [read post]
30 Oct 2012, 5:03 pm
Yet, the rules of the Financial Industry Regulatory Authority (FINRA) do not allow appeals of arbitrators decisions. [read post]
29 Oct 2012, 12:12 pm
The Financial Industry Regulatory Authority (FINRA) fined NEXT Financial Group for failing to perform reasonable investigations during the due diligence phase of the private placement offering by Provident Royalties. [read post]
29 Oct 2012, 10:48 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
26 Oct 2012, 3:13 pm
This is due to the fact that in 1977, Congress refused to grant the FTC, the original overseer of debt collectors, regulatory authority under the Act. [read post]
26 Oct 2012, 3:13 pm
This is due to the fact that in 1977, Congress refused to grant the FTC, the original overseer of debt collectors, regulatory authority under the Act. [read post]
26 Oct 2012, 11:28 am
" The gist of his column is that financial advisors need to be ready to shift gears and go to a new firm in case something happens at their present firm. [read post]
25 Oct 2012, 10:09 am
Countrywide and Bank of America allegedly engaged in fraudulent behavior that contributed to the financial crisis, which ultimately falls on the shoulders of taxpayers. [read post]
23 Oct 2012, 8:08 am
Now, I’m concerned when any public official, especially one in charge of regulation of a particular industry or area of law seems to favor particular stakeholders in that very industry. [read post]
23 Oct 2012, 8:08 am
Now, I’m concerned when any public official, especially one in charge of regulation of a particular industry or area of law seems to favor particular stakeholders in that very industry. [read post]
