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9 Aug 2012, 9:53 pm
Beginning May 1, 2007, Mewbourne Energy Partners has offered the public private placements, which certain Financial Industry Regulatory Authority registered broker-dealers then offered and sold, in order for Mewbourne to raise capital. [read post]
9 Aug 2012, 8:53 am
The author of this blog is Douglas C. [read post]
8 Aug 2012, 9:30 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]
8 Aug 2012, 12:00 pm
About the author: Mathy Stanislaus, Assistant Administrator for the U.S. [read post]
6 Aug 2012, 4:17 pm
See Hercules Industries, Inc. v. [read post]
6 Aug 2012, 3:32 pm
But Form BD is a relatively minor step in the process of registering a broker-dealer, because broker-dealers are also required to become a member of the Financial Industry Regulatory Authority (“FINRA”). [read post]
6 Aug 2012, 3:32 pm
But Form BD is a relatively minor step in the process of registering a broker-dealer, because broker-dealers are also required to become a member of the Financial Industry Regulatory Authority (“FINRA”). [read post]
6 Aug 2012, 2:41 pm
District Court for the Eastern District of Virginia said that Citigroup (C) and UBS (UBS)cannot preliminarily enjoin Financial Industry Regulatory Authority arbitration over an auction-rate securities offering that did not succeed. [read post]
5 Aug 2012, 9:59 pm
Last month, the Financial Industry Regulatory Authority, the Securities and Exchange Commission and other regulators reportedly initiated inquiries into the fund sales practices of JPMorgan. [read post]
4 Aug 2012, 3:20 pm
The appendix also identifies some of the circumstances under which the PCAOB will transmit detailed reports about a company, in addition to the inspection report itself, to the Commission or other regulatory or law enforcement authorities. [read post]
2 Aug 2012, 10:03 pm
Stock fraud lawyers encourage investors to read the Financial Industry Regulatory Authority (FINRA)’s new Investor Alert, which was announced on July 10. [read post]
2 Aug 2012, 6:08 pm
Relief granted for distribution to “permitted clients” in Québec Significantly, the Blanket Order issued by the Autorité des marchés financiers (AMF), the securities regulatory authority in Québec, exempts issuers from application of the Instrument where promotional activities are limited to investors that qualify as a “permitted client” (as defined in National Instrument 31-103 Registration Requirements, Exemptions and… [read post]
2 Aug 2012, 6:08 pm
Relief granted for distribution to “permitted clients” in Québec Significantly, the Blanket Order issued by the Autorité des marchés financiers (AMF), the securities regulatory authority in Québec, exempts issuers from the application of the Instrument where promotional activities are limited to investors that qualify as a “permitted client” (as defined in National Instrument 31-103 Registration Requirements, Exemptions… [read post]
1 Aug 2012, 10:10 pm
A Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission alert warned investors that these products often come with low guarantees, confusing terms and, in some cases, can keep money tied up in the investment for up to a decade. [read post]
1 Aug 2012, 7:30 am
In this opinion piece, Bloomberg columnist and former investment banker William Cohan discusses his views that the government financial watchdog Financial Industry Regulatory Authority should remove its current system of case arbitration and simply allow financial disputes to be resolved in courts of law. [read post]
31 Jul 2012, 10:01 pm
Certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers offered and sold these private placements. [read post]
31 Jul 2012, 9:00 pm
The SEC is recommending that the Commission, Congress, and market participants, including MSRB, look at implementing a combination of industry, legislative, and regulatory initiatives to improve not just the market but also investor protections. [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]
31 Jul 2012, 12:59 pm
A recent arbitration incident and the circumstances surrounding it have enraged investor advocates who contend that securities industry-sponsored arbitration is inherently unfair to investors and that the Financial Industry Regulatory Authority’s monopoly over investor dispute resolution should be ended. [read post]
31 Jul 2012, 9:15 am
Though not explicitly set forth by the Act, the Financial Industry Regulatory Authority (FINRA) was expected to create and oversee the new governing SRO. [read post]
