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27 Apr 2016, 9:03 am
The plan is being submitted jointly by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) to the Commission.Highlights of the PlanPlan Processor and Central Repository The CAT NMS plan provides that a plan processor will build a central repository that would receive, consolidate, and retain the trade and order data reported as part of the CAT. [read post]
26 Apr 2016, 11:28 pm
This spring has seen some regulations issued at the provincial level to implement the MOU, but few regulations seem to have been issued on the regulatory level. [read post]
1 Nov 2019, 1:19 pm
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]
29 Oct 2019, 10:56 am
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]
31 Jul 2012, 1:45 pm
However, today Sutherland Asbill & Brennan LLP today announced the results of its 2012 Sutherland SEC/FINRA Litigation Study – an annual review of the litigated cases brought by the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) against broker-dealers and associated persons. [read post]
14 Nov 2007, 8:35 am
She now serves as senior executive vice president, Regulatory Policy & Programs, at the Financial Industry Regulatory Authority. [read post]
20 Aug 2010, 9:04 am
Merrill Lynchandnbsp;UIT Sales Charge Investment Fraud Firm is fined $500,000, Ordered to Pay Over $2 Million toandnbsp;Customers The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch $500,000 for failing to provide sales charge discounts to customers on eligible purchases of Unit Investment Trusts (UITs). [read post]
17 Oct 2013, 4:00 am
” Currently, the CFPB has authority to supervise student loan servicing by large banks and their service providers. [read post]
19 Mar 2010, 9:58 am
The Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. take a dim view of private placements, which have received a lot of negative press recently. [read post]
17 Feb 2010, 2:02 pm
In January and February, the Financial Industry Regulatory Authority (FINRA) took action, issuing a regulatory notice to members about the ways in which reverse convertibles are marketed and sold to retail investors. [read post]
25 May 2018, 8:40 am
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]
12 Jun 2024, 9:01 pm
For example, the ICO’s work as part of the Digital Regulation Cooperation Forum (DRCF) brings together the ICO, the Competition and Markets Authority (CMA), Ofcom (the UK’s communications regulator) and the Financial Conduct Authority (FCA). [read post]
18 Dec 2022, 9:45 pm
Important features of the new regulatory scheme include the following: 1. [read post]
21 Jul 2017, 8:35 am
The CFPB’s Spring 2017 rulemaking agenda has been published as part of the Spring 2017 Unified Agenda of Federal Regulatory and Deregulatory Actions. [read post]
29 Jun 2016, 4:09 pm
On the face of it, democracy is the ultimate self-regulatory system. [read post]
28 May 2010, 2:57 pm
This potentially may have a deleterious effect on the hedge fund industry, but also on other industries which rely on private placements. [read post]
3 Apr 2023, 12:42 pm
Privacy Policy: By subscribing to Liskow & Lewis’ E-Communications, you will receive articles and blogs with insight and analysis of legal issues that may impact your industry. [read post]
22 May 2017, 1:40 pm
Regulatory authorities are using the WannaCry outbreak to highlight risks and encourage companies to implement reasonable cybersecurity measures. [read post]
28 Jan 2019, 12:57 pm
Notices and information to consumers, including financial incentive offerings. 7. [read post]
22 May 2017, 1:40 pm
Regulatory authorities are using the WannaCry outbreak to highlight risks and encourage companies to implement reasonable cybersecurity measures. [read post]
