Search for: "Financial Industry Regulatory Authority"
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24 Jul 2012, 10:43 pm
The costs to financial institutions associated with this erosion in consumer trust is most assuredly reaching well into the billions, and that’s no secret to the banking industry. [read post]
24 Jul 2012, 9:30 pm
Certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers offered and sold these private placements and, in some cases, may have done so inappropriately. [read post]
24 Jul 2012, 8:33 am
Noting that the law needs to change to ensure the punishment fits the crime, Senator Reed emphasized that the legislation would give the SEC more tools to demand meaningful accountability from Wall Street and enhance the Commission’s ability to protect investors and crack down on fraud.The SEC is responsible for overseeing approximately 35,000 entities, as well as the Financial Industry Regulatory Authority (FINRA), which itself oversees 4,500 brokers; the… [read post]
23 Jul 2012, 7:27 am
Effective July 23, 2012, the Financial Industry Regulatory Authority (FINRA) rule relating to Simplified Arbitration, Rule 12800, will apply to arbitrations involving $50,000 or less, exclusive of interest and expenses. [read post]
23 Jul 2012, 4:42 am
In a Financial Industry Regulatory Authority (? [read post]
23 Jul 2012, 12:14 am
Financial Services Authority announced (here) that it had fined Barclays £59.5 relating to is Libor and Euribor submissions. [read post]
22 Jul 2012, 9:49 pm
Non-traded REITs have been increasingly scrutinized by the Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA). [read post]
22 Jul 2012, 5:09 pm
We have a wonderful opportunity to get this system up and running and my fellow commissioners on the PCC have given me authority to say to this inquiry, if we receive a green light we will immediately move to set up the new body. [read post]
22 Jul 2012, 10:30 am
The UK Financial Reporting Council eschews EU regulation of proxy advisory services at this time in favor of an EU-wide Code of Conduct. [read post]
20 Jul 2012, 11:05 am
This has been part of the reason behind why "regulators, including the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Manhattan district attorney and officials in New Jersey and Delaware, have opened inquiries into JPMorgan's sales practices" reported the Times. [read post]
19 Jul 2012, 10:10 pm
The company offered the Regulation D private placement to raise capital, and certain Financial Industry Regulatory Authority (FINRA)-registered broker-dealers offered and sold the private placement. [read post]
19 Jul 2012, 6:53 pm
Continued study of health services in the practice setting serves as a check on such regulatory bias. [read post]
19 Jul 2012, 12:08 pm
He focuses his practice on regulatory inquiries and investigations involving the SEC and the Financial Industry Regulatory Authority. [read post]
19 Jul 2012, 11:45 am
The Financial Industry Regulatory Authority (FINRA) recently suspended Mr. [read post]
19 Jul 2012, 6:45 am
Further provisions on financial management prescribe a general duty of diligence in the collection and management of rights revenue by, e.g., imposing its clear separation from other CMO income sources. [read post]
19 Jul 2012, 6:27 am
The new rule will require member firms to file certain disclosure documents and material amendments to previous disclosure documents with the Financial Industry Regulatory Authority, Inc. [read post]
18 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]
18 Jul 2012, 9:16 am
The question was whether the arbitrations should take place under the Financial Industry Regulatory Authority, Inc. [read post]
18 Jul 2012, 9:11 am
The question was whether the arbitrations should take place under the Financial Industry Regulatory Authority, Inc. [read post]
18 Jul 2012, 7:43 am
A three-member Financial Industry Regulatory Authority ("FINRA") arbitration panel has issued a $1.6 million Award in favor of customer, John Sisk, against JHS Capital Advisors, Inc., Pointe Capital, Inc. and broker Enver R. [read post]
