Search for: "Financial Industry Regulatory Authority"
Results 8981 - 9000
of 11,239
Sort by Relevance
|
Sort by Date
4 Jun 2012, 11:31 am
The Securities and Exchange Commission is reportedly looking into the compensation paid to executives at the Financial Industry Regulatory Authority (FINRA). [read post]
4 Jun 2012, 6:00 am
On Wednesday the GAO released its report, entitled Opportunities Exist to Improve SEC’s Oversight of the Financial Industry Regulatory Authority, which examines, among other things, how the Commission oversees FINRA rule proposals and the effectiveness of FINRA’s rules and how the Commission plans to enhance its oversight of FINRA. [read post]
4 Jun 2012, 5:25 am
The Securities and Exchange Commission has approved two proposals submitted by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) that are designed to address extraordinary volatility in individual securities and the broader U.S. stock market.Additional Materials... [read post]
3 Jun 2012, 9:51 pm
In May 2012, the Financial Industry Regulatory Authority ordered David Lerner Associates Inc. to pay claimants Florence Hechtel and Joseph Graziose $24,450 following the return of their Apple REIT Nine shares to the firm. [read post]
3 Jun 2012, 9:30 pm
According to a new study, an important dichotomy exists between voluntary programs run by state regulatory agencies and similar programs run at the federal level in the United States. [read post]
2 Jun 2012, 12:00 pm
It is being reported that Brendan Coughlin and Henry Harrison, two co-founders of Provident Royalties LLC, have been fined $50,000 each and suspended from the securities industry for two years, according to a settlement with the Financial Industry Regulatory Authority Inc. [read post]
1 Jun 2012, 5:45 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
1 Jun 2012, 5:04 am
The case arose after North American’s revenues declined during 2007 and 2008 and a March 2008 audit by the Financial Industry Regulatory Authority (FINRA) revealed irregularities in North American’s calculation of its reserves. [read post]
31 May 2012, 9:35 pm
Financial Industry Regulatory Authority (FINRA) 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]
31 May 2012, 9:30 pm
The Securities and Exchange Commission (SEC) could improve oversight of the Financial Industry Regulatory Authority (FINRA) according to a government report. [read post]
31 May 2012, 1:31 pm
NASAA recently offered suggestions to the Financial Industry Regulatory Authority (FINRA) on ways to improve the expungement process by providing a clear procedure for unnamed persons to seek expungements of customer dispute information from the Central Registration Depository (CRD). [read post]
31 May 2012, 12:08 pm
POGO is particularly opposed to the Financial Industry Regulatory Authority (FINRA) becoming the SRO because it believes that "FINRA's regulatory effectiveness is undermined by its inherent conflicts of interest, its lack of transparency and accountability, its lobbying expenditures, and its executive compensation packages, among other issues. [read post]
31 May 2012, 11:03 am
And the Financial Industry Regulatory Authority’s BrokerCheck database is a good place to start. [read post]
31 May 2012, 6:54 am
Employee Internet posts not only implicate the financial rules of the Securities and Exchange Commission, as was the case for Francesca's, but they can also create compliance issues under the regulations of other agencies, including: Financial Industry Regulatory Authority (FINRA), Federal Trade Commission (FTC), Food and Drug Administration (FDA) and National Labor Relations Board (NLRB), Office of the General Counsel. [read post]
30 May 2012, 1:37 pm
He says the government is stepping up its enforcement and beginning to flex its considerable regulatory authority more robustly. [read post]
30 May 2012, 1:35 pm
IEA Chief Economist Fatih Birol, the report's chief author said, "If this new industry is to prosper, it needs to earn and maintain its social license to operate. [read post]
30 May 2012, 1:02 pm
GAO released a report, Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority (GAO-12-625, May 30, 2012). [read post]
30 May 2012, 7:49 am
As of the end of March, margin accounts totaled more than $330 billion, according to the Financial Industry Regulatory Authority (FINRA). [read post]
29 May 2012, 6:05 pm
(CLQ) has consented to pay the Financial Industry Regulatory Authority a $3.5M fine to settle allegations that he gave out inaccurate information about subprime residential mortgage-backed securities. [read post]
29 May 2012, 1:30 pm
Deregulation could open the market and transform the legal industry for the better. [read post]
