Search for: "Financial Industry Regulatory Authority"
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23 Oct 2012, 6:27 am
,” he and his co-author, Professor Henry Butler (also of George Mason Law), critiqued state consumer protection acts as overbroad supplements to the FTC Act. [read post]
22 Oct 2012, 10:56 am
The Financial Industry Regulatory Authority is ordering David Lerner Associates, Inc. to pay $14M for allegedly engaging in unfair sales practices involving its Apple REIT Ten and charging clients excessive markups. $12 million of this will be restitution to the investors that bought shares in the $2 billion non-traded real estate investment trust, as well as to clients that were overcharged. $2.3 million is FINRA’s fine against the brokerage firm for… [read post]
22 Oct 2012, 9:24 am
Beginning on Monday, December 3, 2012, members of Financial Industry Regulatory Authority (FINRA) must file a copy of any private placement memorandum, term sheet, or other offering document used within 15 calendar days from the date the sale took place; the filer will have a continuing obligation to file any materially amended versions of the offering documents; if no offering documents are used, it must indicate that it did not do so; and filings must be made… [read post]
21 Oct 2012, 10:16 am
Regulatory work including fraud and sports regulation. [read post]
20 Oct 2012, 3:32 pm
So, build a competent local team and be creative in pealing the proverbial onion of potential problematic issues.By Juliette Passer, Esq. 2012About UsOur company provides legal and financial consulting to both US and foreign clients involved in many industries. [read post]
19 Oct 2012, 10:13 am
Especially with respect to broker-dealers, the Financial Industry Regulatory Authority has cracked down on numerous firms that fail to take reasonable steps to investigate issuers before recommending an issuer’s securities to the broker-dealer’s clients. [read post]
16 Oct 2012, 2:09 pm
He reported that the Financial Industry Regulatory Authority ("FINRA") is examining how major banks and brokerage firms define and deal with conflicts of interest between themselves and their clients. [read post]
16 Oct 2012, 10:52 am
District Court Judge Robert Wilkins struck down position limits regulation on Sept. 28 and handed a first round victory to financial industry lobbying groups. [read post]
15 Oct 2012, 1:53 pm
Eccleston Law Offices counsels, represents and defends financial advisers nationwide in regulatory, compliance, disciplinary and employment matters in arbitration and litigation, and before regulatory bodies such as the SEC, FINRA and state securities regulators. [read post]
15 Oct 2012, 11:45 am
The proposals and final rules the Commission has issued to date reflect that the CFTC has chosen to exercise this authority to abandon its principles-based regulatory approach in favor of a prescriptive one-size-fits-all regime, which in my view is a mistake. [read post]
10 Oct 2012, 11:43 am
” Under the guidance, common ownership or decision making authority would be considered. [read post]
5 Oct 2012, 11:20 am
The Financial Industry Regulatory Authority (FINRA), the self-regulatory entity responsible for the administration of examinations for stockbrokers and financial advisors, maintains its BrokerCheck website at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/. [read post]
1 Oct 2012, 11:14 am
Written by: Jay Gould and Peter Chess Effective December 3, 2012, hedge funds and other private funds that rely on Section 3(c)(1) of the Investment Company Act (“3(c)(1) Funds”) and which sell their interests through third party marketers, must ensure that their private placement memoranda (“PPM”) are filed with FINRA, the Financial Industry Regulatory Authority. [read post]
25 Sep 2012, 9:06 am
Stockbrokers, or more accurately, their employer brokerage firms are required to report to The Financial Industry Regulatory Authority (andquot;FINRAandquot;), when their stockbrokers are the subject of customer complaints alleging sales practice violations, criminal actions, bankruptcies, or their conduct forms the basis of an arbitration or civil action by a public customer against the broker or brokerage firm in excess of $10,000 or any case that was settled in… [read post]
24 Sep 2012, 3:13 pm
This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Merrill Lynch for deficiencies in required disclosure reports and for often failing to file such reports. [read post]
20 Sep 2012, 9:32 am
Scientists and policy experts from industry, government, and various nonprofit sectors worked on a report released recently by the Research Integrity Roundtable, designed to offer ways to improve the scientific analysis and independent expert reviews which underpin many important regulatory decisions. [read post]
19 Sep 2012, 6:51 am
Whether a given rating authority has “rejected” a rate under its regulatory jurisdiction, albeit after the fact, is a creature of its statutory framework. [read post]
18 Sep 2012, 6:18 am
The SEC and the CFTC are gradually implementing regulations so the full picture of the new derivatives regulatory framework has yet to emerge.On July 19, 2012, the CFTC published its final rule as to the so-called “end-user exception” that exempts certain non-financial counterparties which enter into swaps to hedge commercial risks from the clearing requirement. [read post]
14 Sep 2012, 9:39 am
Turetzky andquot;that these violations should be reported to the Financial Industry Regulatory Authority Inc. [read post]
13 Sep 2012, 12:12 pm
The CFTC is a federal regulatory body that regulates the entire commodities futures industry. [read post]
