Search for: "Financial Industry Regulatory Authority"
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16 Aug 2012, 12:55 pm
Various financial ties between physicians ? [read post]
1 Sep 2020, 11:00 am
Filing a Complaint Against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
15 Nov 2023, 12:30 am
FINRA, otherwise known as the Financial Industry Regulatory Authority, is an administrative body that regulates the securities industry and provides a forum for securities related disputes. [read post]
25 Nov 2014, 8:09 am
Selling away is prohibited under the rules of the Financial Industry Regulatory Authority (FINRA), particularly FINRA Rule 3040, as well as other securities laws. [read post]
18 Dec 2013, 9:22 am
In order to sell securities in the US broker dealer are required to register with FINRA, the Financial Industry Regulatory Authority. [read post]
4 Oct 2022, 2:57 pm
Stamer helps health industry and other organizations and their management manage. [read post]
8 Feb 2012, 7:39 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]
18 Dec 2010, 4:52 am
This next two years may be the last window to leash and collar a parasitic financial services industry. [read post]
15 May 2020, 11:49 am
As you are aware, things are changing quickly, there is no clear-cut authority or bright line rules in this area, and the aid measures and interpretations described here may change. [read post]
31 Jan 2019, 8:04 am
The Financial Industry Regulatory Authority (FINRA) has oversight over all major brokerage firms operating in the United States (including UBS Financial Services, Credit Suisse, Merrill Lynch and Morgan Stanley), and these firms are required to arbitrate loss claims filed by individual investors. [read post]
5 May 2016, 7:45 am
As the high tech industry exploded, the government facilitated its growth. [read post]
30 Nov 2018, 12:01 pm
In October, the Treasury Department rolled out a pilot program to implement the new “critical technologies” authorities under FIRRMA. [read post]
9 Jun 2011, 5:00 am
Regulatory authorities have delivered increasingly clear messages regarding the renewed focus on hedge fund and M&A insider trading. [read post]
7 Jan 2021, 10:42 am
DeLoreto of the Government & Regulatory Affairs Department with any questions regarding this new legislation. [read post]
7 Jan 2021, 10:42 am
DeLoreto of the Government & Regulatory Affairs Department with any questions regarding this new legislation. [read post]
7 Jan 2021, 10:42 am
DeLoreto of the Government & Regulatory Affairs Department with any questions regarding this new legislation. [read post]
2 Apr 2021, 8:10 am
A cybersecurity attorney must understand the delineation of each government agency’s authorities. [read post]
10 Jul 2013, 10:03 am
” This matter involved the regulatory authority of the Board and the County, not any relief against individual water rights holders. [read post]
13 Aug 2021, 5:01 am
China has invested heavily in standards-setting in recent years, offering financial incentives to companies that propose standards or that obtain leadership roles in SSBs. [read post]
23 Dec 2008, 5:47 am
The ASNP conference confirmed for this author why special needs attorneys and financial planners, as opposed to former life insurance salesmen and claim managers, represent the future of structured settlements and settlement planning. [read post]
