Search for: "Financial Industry Regulatory Authority"
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20 Jun 2012, 10:41 am
By early 2010, the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), the Alabama Securities Commission, the Kentucky Department of Financial Institutions, the Mississippi Secretary of State's Office and the South Carolina Office of the Attorney General had all filed charges against Morgan Keegan and several of its employees for fraudulent activity in connection with all of the RMK funds. [read post]
20 Jun 2012, 9:22 am
Jacqui heads up the Financial Services Advisory Group which sits within the Financial Industry Group. [read post]
19 Jun 2012, 10:14 pm
” A Financial Industry Regulatory Authority arbitration claim was recently filed on behalf of an 81-year-old Peoria, Illinois resident. [read post]
19 Jun 2012, 2:05 pm
The new Financial Industry Regulatory Authority ("FINRA") Rule 2090 "Know Your Customer" and Rule 2111 "Suitability" will become effective on July 9, 2012. [read post]
19 Jun 2012, 12:18 pm
The Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority's (FINRA) Rule 5123 on June 7, 2012. [read post]
19 Jun 2012, 12:18 pm
The Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority's (FINRA) Rule 5123 on June 7, 2012. [read post]
19 Jun 2012, 7:34 am
In the case of broker-dealers and municipal advisors, the ban also provides that any such solicitors must be subject to the pay-to-play restrictions that are purportedly due to be adopted in the future by either the Financial Industry Regulatory Authority (FINRA) or the Municipal Securities Rulemaking Board (MRSB). [read post]
18 Jun 2012, 9:30 pm
For a practitioner, the most creative part of the regulatory process is in discussions with the agency that has been delegated authority to implement a statute. [read post]
18 Jun 2012, 8:08 am
It is a violation of the Financial Industry Regulatory Authority (FINRA) rules, in particular rule 3270 and 3040. [read post]
18 Jun 2012, 7:19 am
Ameriprise Financial Servs., Inc., No. 07 Civ. 2655, 2008 U.S. [read post]
18 Jun 2012, 7:00 am
Financial Industry Regulatory Authority, Inc. examiners discovered a discrepancy created by the sham money market purchase and demanded an explanation. [read post]
18 Jun 2012, 7:00 am
Financial Industry Regulatory Authority, Inc. examiners discovered a discrepancy created by the sham money market purchase and demanded an explanation. [read post]
18 Jun 2012, 4:38 am
“The problem with social media companies is generally their lack of transparency with regulatory authorities,” she said. [read post]
16 Jun 2012, 9:28 pm
Broker Bruce Parish Hutson has turned in a Letter of Acceptance, Waver, and Consent to settle allegations of Financial Industry Regulatory Authority rule violations involving his alleged failure to advise Morgan Stanley Smith Barney (MS) of his arrest for retail theft at a store in Wisconsin. [read post]
15 Jun 2012, 5:50 pm
The industry could have acknowledged that the inquiry had stated a hard truth, and then set about improving the self-regulatory system. [read post]
15 Jun 2012, 1:36 pm
Just weeks after facing $2.6 million in fines by the Financial Industry Regulatory Authority (FINRA) over sales of collateralized mortgage obligations (CMOs), broker/dealer Brookstone Securities has closed up shop. [read post]
15 Jun 2012, 6:34 am
In a settlement agreement with the Financial Industry Regulatory Authority Inc. [read post]
15 Jun 2012, 5:39 am
Sales of structured products have landed Merrill Lynch in hot water with the Financial Industry Regulatory Authority (FINRA), with Merrill agreeing to pay a $450,000 fine. [read post]
14 Jun 2012, 10:37 pm
Last month, the Financial Industry Regulatory Authority (FINRA) issued an Investor Alert, “Nutraceutical Stock Scams — Don’t Supplement Your Portfolio with These Companies. [read post]
13 Jun 2012, 9:54 pm
Financial Industry Regulatory Authority rules have established that 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]
