Search for: "Financial Industry Regulatory Authority"
Results 8821 - 8840
of 11,239
Sort by Relevance
|
Sort by Date
30 Jul 2012, 1:25 pm
The brokerage firm Charles Schwab & Co. had sought a declaratory judgment to the effect that the Financial Industry Regulatory Authority (FINRA) could not prevent Schwab from adding a class action waiver to its customer account agreements. [read post]
30 Jul 2012, 11:14 am
Furthermore, according to BrokerCheck, which is a service provided by the Financial Industry Regulatory Authority (FINRA), they included among other things "aiding and abetting wire fraud, aiding and abetting money laundering, conspiracy to commit mail and wire fraud and aiding and mail fraud". [read post]
30 Jul 2012, 10:57 am
Increased regulatory scrutiny of cookie practices is likely to further stir such litigation. [read post]
30 Jul 2012, 9:29 am
Bringing additional health care industry leaders and experts into this work will allow us to act more quickly and effectively in identifying and stopping fraud schemes, seeking justice for victims, and safeguarding our health care system. [read post]
30 Jul 2012, 7:39 am
The Financial Industry Regulatory Authority (FINRA) recently issued an Investor Alert on ETNs. [read post]
29 Jul 2012, 9:30 pm
Certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers then offered and sold these private placements. [read post]
WSJ Article on Medical Foods Repeats Common Errors, but Illustrates Importance of Healthcare Options
29 Jul 2012, 8:05 pm
Disease management claims for medical foods are closely policed and, if found lacking in clinical support, are likely to be challenged by a wide range of groups, including the FDA, the FTC, the NAD (an industry self-regulatory arm of the BBB), state attorneys general, and plaintiffs' class action lawyers. [read post]
27 Jul 2012, 4:46 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
27 Jul 2012, 4:35 am
Securities industry experience also a plus. [read post]
26 Jul 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]
26 Jul 2012, 1:20 pm
Second, authorities must avoid circumstances where market players are subject to two, or even more, sets of daily regulatory demands.Currently, while there is a G-20 commitment to harmonized financial regulation and a role for the Financial Stability Board, noted the official, there is no global governance mechanism which ensures that governments take coordinated decisions regarding the regulation of financial markets. [read post]
26 Jul 2012, 11:58 am
Bachus's bill, if passed, would lead to the Financial Regulatory Authority (FINRA) becoming the SRO for investment advisers. [read post]
26 Jul 2012, 11:58 am
Bachus's bill, if passed, would lead to the Financial Regulatory Authority (FINRA) becoming the SRO for investment advisers. [read post]
26 Jul 2012, 7:03 am
On July 9, 2012, the Financial Industry Regulatory Authority (FINRA) implemented a new securities rule governing the obligation of brokers to make "suitable" investment recommendations to customers. [read post]
26 Jul 2012, 7:03 am
On July 9, 2012, the Financial Industry Regulatory Authority (FINRA) implemented a new securities rule governing the obligation of brokers to make "suitable" investment recommendations to customers. [read post]
25 Jul 2012, 9:49 pm
Financial Industry Regulatory Authority (FINRA) 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]
25 Jul 2012, 11:26 am
The result would be a complex and confusing regulatory scheme exposing US futures commission merchants and swaps dealers to considerable regulatory risk and effectively expand the CFTC’s reach into many jurisdictions around the world. [read post]
25 Jul 2012, 10:25 am
” If the regulatory authorities aren’t going to stand up to banks doing illegal, improper, or unethical things, who exactly is? [read post]
25 Jul 2012, 10:25 am
” If the regulatory authorities aren’t going to stand up to banks doing illegal, improper, or unethical things, who exactly is? [read post]
25 Jul 2012, 8:34 am
However, understanding that a relaxation on business regulation administered under the ITAR umbrella will result in less financial burden and greater incentives to do business with United States industry currently hindered by ITAR, is a gleaming fact. [read post]
