Search for: "Financial Industry Regulatory Authority"
Results 8941 - 8960
of 11,239
Sort by Relevance
|
Sort by Date
13 Jun 2012, 1:23 pm
A Financial Industry Regulatory Authority ("FINRA") hearing panel has ordered Lakeland, Florida-based Brookstone Securities, Inc. [read post]
13 Jun 2012, 12:15 pm
The Financial Industry Regulatory Authority (FINRA) views its mandate as investor protection and as such, they have given notice that a new suitability rule, Rule 2111, will go into effect on July 9, 2012. [read post]
13 Jun 2012, 12:15 pm
The Financial Industry Regulatory Authority (FINRA) views its mandate as investor protection and as such, they have given notice that a new suitability rule, Rule 2111, will go into effect on July 9, 2012. [read post]
13 Jun 2012, 9:12 am
Section 3 of the BHC Act requires the FRB to consider whether the applicants are subject to comprehensive supervision or regulation on a consolidated basis by appropriate authorities in their home country. [read post]
13 Jun 2012, 9:00 am
Financial Industry Regulatory Authority announced a new pilot program will launch on July 2 that will give parties more flexibility in cases involving more than $10 million in claims. [read post]
13 Jun 2012, 9:00 am
Financial Industry Regulatory Authority announced a new pilot program will launch on July 2 that will give parties more flexibility in cases involving more than $10 million in claims. [read post]
12 Jun 2012, 3:45 pm
Written by: Jay Gould and Peter Chess The Financial Industry Regulatory Authority (“FINRA”) released new guidance last month regarding new FINRA Rule 2111 (the “Suitability Rule”), which requires a broker-dealer to have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through reasonable diligence by the… [read post]
12 Jun 2012, 9:22 am
” Furthermore, Kelly also points out a May 2011 “complaint” brought against David Lerner Associates Inc., a broker-dealer firm, by the Financial Industry Regulatory Authority Inc. [read post]
12 Jun 2012, 6:46 am
In Regulatory Notice 12-08, effective January 26, 2012, the Financial Industry Regulatory Authority (IFNRA), citing the regulations of the Financial Crimes Enforcement Network (FINCEN) regarding Suspicious Activity Reports (SAR’s), now requires brokerage firms to make such SAR reports and supporting documents and information available to regulatory authorities. [read post]
12 Jun 2012, 6:46 am
In Regulatory Notice 12-08, effective January 26, 2012, the Financial Industry Regulatory Authority (IFNRA), citing the regulations of the Financial Crimes Enforcement Network (FINCEN) regarding Suspicious Activity Reports (SAR’s), now requires brokerage firms to make such SAR reports and supporting documents and information available to regulatory authorities. [read post]
12 Jun 2012, 6:39 am
In Regulatory Notice 12-05, the Financial Industry Regulatory Authority (FINRA) noted an increasing number of reports of customer funds stolen due to e-mail instructions received from compromised customer e-mail accounts. [read post]
12 Jun 2012, 6:39 am
In Regulatory Notice 12-05, the Financial Industry Regulatory Authority (FINRA) noted an increasing number of reports of customer funds stolen due to e-mail instructions received from compromised customer e-mail accounts. [read post]
12 Jun 2012, 2:00 am
Many believe that if this route is taken, it is likely that the Financial Regulatory Authority (FINRA) would be the designated SRO for such registrants. [read post]
11 Jun 2012, 4:13 pm
Two months ago, Merrill Lynch was ordered to pay more than $10 million by a Financial Industry Regulatory Authority (FINRA) arbitration panel to two former brokers – Tamara Smolchek and Meri Ramazio – who had sued Merrill Lynch for deferred compensation they lost after leaving for Morgan Stanley in 2008. [read post]
11 Jun 2012, 1:09 pm
For example, it is not atypical to establish a process for registering, authorizing and inventorying personal devices that will be used for company purposes. [read post]
10 Jun 2012, 10:17 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. [read post]
10 Jun 2012, 10:35 am
Budreau entered into a consent agreement with Financial Industry Regulatory Authority (Finra), under which he was suspended from association with any Finra member for 10 business day and issued a $5,000 fine. [read post]
8 Jun 2012, 5:18 pm
Mr Greg Hywood, the chief executive of Fairfax Media, was unable to explain why news media companies could satisfactorily put in place Chinese walls between their editorial and their advertising departments to ensure that governments, which are major advertisers with newspapers, could not influence editorial policy, but that a regulatory body with even partial government funding would be inevitably and irretrievably compromised. [read post]
8 Jun 2012, 7:47 am
Stephen Lynch (D-MA) said that this legislation is about the integrity of the financial services industry. [read post]
7 Jun 2012, 9:55 pm
A Financial Industry Regulatory Authority (FINRA) announcement dated June 4, 2012, stated that a hearing panel ruled in favor of claimants against Brookstone Securities of Lakeland, Florida, along with one of its brokers, Christopher Kline, and its owner and CEO, Antony Tuberville. [read post]
