Search for: "Financial Industry Regulatory Authority"
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28 Jan 2013, 6:15 am
The North American Securities Administrators Association in 2009 included leveraged exchange-traded funds among its top 10 investor traps, while the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc. at the same time issued alerts to investors warning about the risks of such funds. [read post]
16 Jul 2020, 7:20 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]
28 Jun 2022, 7:00 am
Although this is the SEC’s first legal action regarding Reg BI, the Financial Industry Regulatory Authority issued a report of its examination findings and risk monitoring guidance in February of this year, explaining in detail the types of deficiencies relating to Reg BI that its examiners were observing in their examinations of broker-dealers. [read post]
12 Aug 2019, 11:02 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
24 Sep 2018, 10:55 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
16 Mar 2021, 1:09 pm
FINRA Warns of Risks of “Following the Crowd” on Social Media Earlier this year, the Financial Industry Regulatory Authority (FINRA) published an article discussing the risks involved with finding investment-related information on social media. [read post]
8 Nov 2021, 4:19 pm
Following her termination, Badgerow initiated an arbitration proceeding against the three principals before an arbitration panel of the Financial Industry Regulatory Authority (“FINRA”). [read post]
6 Nov 2013, 7:42 am
The Financial Industry Regulatory Authority (FINRA) has acknowledged that leveraged ETF carry significant risks and are inherent complexity of the products. [read post]
31 Jan 2010, 4:15 pm
The case, which was referred by the Market Regulation Department of Financial Industry Regulatory Authority (FINRA), was investigated by the FBI and the U.S. [read post]
3 May 2012, 10:39 am
Ultimately, even a successful regulatory regime will not be sufficient to ensure good outcomes. [read post]
28 Nov 2011, 6:06 am
The Financial Services Authority levied a £14,000 fine and banned a compliance officer from performing any significant influence function in regulated financial services. [read post]
23 Jan 2023, 9:10 am
To learn more, see: Non-traded REITs “Liquidity Issue” 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]
11 Sep 2020, 11:42 am
Filing a Complaint Against your Brokerage Firm 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]
16 Feb 2009, 9:28 am
The Ministry of Trade and Industry put in place the regulatory framework only in 2004, with decree no. 12 of 14/7/1425H, and the first conciliation commission was nominated only in May 2007. [read post]
14 May 2020, 1:10 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
20 Mar 2019, 7:35 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
15 Jul 2020, 10:47 am
Filing a Complaint against your Brokerage Firm 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]
13 Jul 2022, 3:55 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
26 Mar 2024, 8:11 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
3 Nov 2023, 7:17 am
Fortunately, the Financial Industry Regulatory Authority (FINRA) provides for an arbitration forum for investors to resolve disputes if a broker or brokerage firm makes an? [read post]
