Search for: "Financial Industry Regulatory Authority"
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13 Sep 2012, 12:12 pm
The CFTC is a federal regulatory body that regulates the entire commodities futures industry. [read post]
11 Sep 2012, 9:30 pm
Fraley, you may be able to recover your losses through Financial Industry Regulatory Authority arbitration. [read post]
11 Sep 2012, 5:10 am
FIO, although without direct regulatory authority, will play an important role in the future regulation of the insurance industry. [read post]
11 Sep 2012, 1:36 am
Rick is a Member of the Cozen O’Connor law firm and he is also the co-author of the CyberInquirer blog. [read post]
10 Sep 2012, 7:23 am
In effect, the proposal could lead to a delay for a number of reforms in the financial industry. [read post]
7 Sep 2012, 8:46 am
In a decision last month, the California Court of Appeals may have opened the door for brokers to bypass the Financial Industry Regulatory Authority's (FINRA) rigid expungement rules in order to remove matters from their CRD records. [read post]
7 Sep 2012, 12:00 am
“Financial regulation reforms should also focus on altering the current regulatory dynamic and structure to eliminate regulator incentives to forbear enforcement at early signs of trouble at large financial institutions. [read post]
6 Sep 2012, 9:21 am
” Ever since, the financial services industry has spent billions of dollars on lobbyists ($101 million in 2011 alone, according to opensecrets.org), and has succeeded in getting lawmakers to delegate important oversight functions to SROs such as the National Futures Association (NFA) and the Financial Industry Regulatory Authority (FINRA). [read post]
6 Sep 2012, 1:53 am
The regulatory fines and penalties will not be insured. [read post]
5 Sep 2012, 10:13 pm
Financial Industry Regulatory Authority rules have established that brokers and firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation given their age, investment objectives and risk tolerance. [read post]
5 Sep 2012, 12:00 pm
It has, however, accelerated an already-dangerous concentration in the financial industries; institutionalized the bailout culture; created a gargantuan rulemaking apparatus and a world in which no one knows what might happen next; and armed hordes of officials—folks like Eliot Spitzer—with criminal and civil enforcement authority over “abusive” lending practices and other undefined infractions. [read post]
4 Sep 2012, 9:30 pm
” According to securities fraud attorneys, Financial Industry Regulatory Authority rules have established that brokers and firms have an obligation to fully disclose all the risks of a given investment when making recommendations, and those recommendations must be suitable for the individual investor receiving the recommendation given their age, investment objectives and risk tolerance. [read post]
4 Sep 2012, 1:25 pm
The Financial Industry Regulatory Authority said its vice chairman, Stephen Luparello, was leaving to join the law firm Wilmer Hale in Washington. [read post]
4 Sep 2012, 1:25 pm
The Financial Industry Regulatory Authority says its vice chairman, Stephen Luparello, is joining the law firm Wilmer Hale in Washington. [read post]
4 Sep 2012, 1:25 pm
The Financial Industry Regulatory Authority says its vice chairman, Stephen Luparello, is joining the law firm Wilmer Hale in Washington. [read post]
4 Sep 2012, 7:45 am
Financial Services Authority, the Association for Financial Markets in Europe, the London Metal Exchange, the Korea Federation of Banks, the Association of German Banks, and the European Commission. [read post]
4 Sep 2012, 6:29 am
The Conference brought together state and federal mortgage regulators, industry professionals, compliance companies, legal professionals, and education providers to discuss the latest developments in mortgage supervision and pressing issues confronting the industry, most notably developments regarding: (i) the SAFE Act and entity level licensing through the NMLS and (ii) the examination, enforcement and rulemaking initiatives of the Consumer Financial Protection Bureau… [read post]
2 Sep 2012, 9:47 pm
If a broker or adviser makes a recommendation that is unsuitable for their client, the broker or brokerage firm can be held responsible for the investor’s losses in Financial Industry Regulatory Authority arbitration. [read post]
1 Sep 2012, 3:53 am
However, Lord Black has argued that his proposal is viewed as credible, and therefore likely to be effective, because it was formulated within the industry (Black 2012: para 8). [read post]
31 Aug 2012, 12:43 pm
In 2011, the Financial Industry Regulatory Authority (FINRA) Office of Dispute Resolution designated Montpelier, Vermont as a hearing situs for FINRA arbitration claims filed by Vermont residents, thereby obviating the necessity that Vermont residents have their claims heard in otherwise prior hearing locates such as Albany, New York, Boston, Massachusetts, and Hartford, Connecticut. [read post]
