Search for: "Financial Industry Regulatory Authority"
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7 Jun 2012, 7:44 pm
There were complaints about examiners making findings and recommendations without supporting regulatory authority. [read post]
7 Jun 2012, 1:13 pm
However, the Financial Industry Regulatory Authority (FINRA) warns that these loans come with significant risks, including potential credit, valuation and liquidity problems. [read post]
7 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]
7 Jun 2012, 11:24 am
With HB 503, it will take less time for business endeavors to get through the process of getting regulatory okays -- and no, the environment isn't tossed aside as this new legislation changes the permitting procedures. [read post]
7 Jun 2012, 7:20 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority... [read post]
7 Jun 2012, 5:00 am
Richard Ketchum, Chairman and Chief Executive Officer, Financial Industry Regulatory Authority Mr. [read post]
6 Jun 2012, 3:40 pm
The Financial Services Institute (FSI) Chair, Joe Russo, recently released a letter stating that the FSI supports the Financial Industry Regulatory Authority (FINRA) as the new self-regulatory organization (SRO) for investment advisers. [read post]
6 Jun 2012, 9:49 am
A recent report released by the Government Accountability Office (“GAO”) last week concluded that the SEC can improve its oversight of the Financial Industry Regulatory Authority (“FINRA”), a self-regulatory organization charged with policing securities broker-dealers. [read post]
6 Jun 2012, 9:49 am
A recent report released by the Government Accountability Office (“GAO”) last week concluded that the SEC can improve its oversight of the Financial Industry Regulatory Authority (“FINRA”), a self-regulatory organization charged with policing securities broker-dealers. [read post]
6 Jun 2012, 6:22 am
FIO, although without direct regulatory authority, will play an important role in the future regulation of the insurance industry. [read post]
5 Jun 2012, 10:08 pm
The plan is based on two initiatives from the Financial Industry Regulatory Authority and the national securities exchanges. [read post]
5 Jun 2012, 3:13 pm
As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Government Accountability Office (GAO), a non-partisan investigative agency of Congress, conducted a study which criticized the Securities and Exchange Commission's (SEC) oversight of the Financial Industry Regulatory Authority (FINRA). [read post]
5 Jun 2012, 11:54 am
Pacifici this morning passes along notice of some new GAO Reports on: Budget and Spending GAO Schedule Assessment Guide, GAO-12-120G, May 30, 2012Indigent Defense - Surveys of Grant Recipients, Select Tribes, and Indigent Defense Providers, GAO-12-661SP, May 30, 2012 Securities Regulation - Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority, [read post]
5 Jun 2012, 8:35 am
Last week, the Financial Industry Regulatory Authority (FINRA) fined broker-dealer Brookstone Securities $1 million in connection to sales of risky tranches of collateralized mortgage obligations (CMOs) to elderly clients. [read post]
5 Jun 2012, 6:39 am
In a Financial Industry Regulatory Authority (? [read post]
5 Jun 2012, 6:26 am
The Financial Industry Regulatory Authority (FINRA) recently announced that a FINRA hearing panel ruled that Brookstone Securities of Lakeland, FL, and the firm’s Owner/CEO Antony Turbeville and one of the firm’s brokers, Christopher Kline, made fraudulent sales of collateralized mortgage obligations (CMOs) to unsophisticated, elderly and retired investors. [read post]
5 Jun 2012, 6:26 am
The Financial Industry Regulatory Authority (FINRA) recently announced that a FINRA hearing panel ruled that Brookstone Securities of Lakeland, FL, and the firm’s Owner/CEO Antony Turbeville and one of the firm’s brokers, Christopher Kline, made fraudulent sales of collateralized mortgage obligations (CMOs) to unsophisticated, elderly and retired investors. [read post]
5 Jun 2012, 6:26 am
The Financial Industry Regulatory Authority (FINRA) recently announced that a FINRA hearing panel ruled that Brookstone Securities of Lakeland, FL, and the firm’s Owner/CEO Antony Turbeville and one of the firm’s brokers, Christopher Kline, made fraudulent sales of collateralized mortgage obligations (CMOs) to unsophisticated, elderly and retired investors. [read post]
4 Jun 2012, 12:19 pm
Rick Ketchum, the head of the Financial Industry Regulatory Authority, the self-policing body for the securities industry, said Tuesday that the question is "a matter of regulatory concern" for his organization and the Securities and Exchange Commission. [read post]
4 Jun 2012, 12:19 pm
Rick Ketchum, the head of the Financial Industry Regulatory Authority, the self-policing body for the securities industry, said Tuesday that the question is "a matter of regulatory concern" for his organization and the Securities and Exchange Commission. [read post]
