Search for: "Financial Industry Regulatory Authority"
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18 May 2012, 7:18 am
The Financial Industry Regulatory Authority (FINRA) is showing stepped-up interest in the role of broker-dealers and individuals that act as wholesalers in the sale of private (Reg D) offerings that clients and often brokers do not fully understand. [read post]
18 May 2012, 7:13 am
Financial Industry Regulatory Authority, Inc., No. [read post]
17 May 2012, 9:55 pm
If you were inappropriately invested in private placement REITs because of the recommendation of Corey Castilio, William Leitch and Purshe Kaplan or any other broker, adviser or firm, you may be able to recover your losses through Financial Industry Regulatory Authority arbitration. [read post]
17 May 2012, 8:06 am
“I needed income that I could count on and wasn’t risky,” said Block, who is seeking damages from his investment adviser in an arbitration case with the Financial Industry Regulatory Authority (FINRA), in the WSJ story. [read post]
17 May 2012, 8:00 am
This group claims that terminating this practice would resolve a very troubling regulatory issue. [read post]
16 May 2012, 9:57 pm
., or any other broker, adviser or firm, you may be able to recover your losses through Financial Industry Regulatory Authority arbitration. [read post]
16 May 2012, 5:47 pm
California is the only state with a State Bar that is both a trade association and regulatory agency. [read post]
16 May 2012, 5:47 pm
California is the only state with a State Bar that is both a trade association and regulatory agency. [read post]
16 May 2012, 7:38 am
This is also in the interests of the German financial industry. [read post]
16 May 2012, 6:49 am
“I needed income that I could count on and wasn’t risky,” said Block, who is seeking damages from his investment adviser in an arbitration case with the Financial Industry Regulatory Authority (FINRA), in the WSJ story. [read post]
16 May 2012, 6:23 am
These types of acquisitions can result in the departure of jobs and tax revenues, and diminish states’ regulatory control over the newly merged company. [read post]
15 May 2012, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) has started to increase its efforts in regulating inverse ETFs and ETNs, hoping to ensure that unsophisticated investors are not being sold these complicated products. [read post]
15 May 2012, 8:46 pm
Litigation costs, regulatory fines, and reduced stock price are also among the costs companies identified. [read post]
15 May 2012, 2:00 am
In the Order, the FRB detailed its exhaustive analysis on the CCS of ICBC by the China Banking Regulatory Commission and other regulatory authorities including, among others, the People’s Bank of China, the State Administration of Foreign Exchange, China Securities Regulatory Commission and China Insurance Regulatory Commission. [read post]
14 May 2012, 3:57 pm
However, they have the right to opt-in to full authorization in order to benefit from these passports. [read post]
14 May 2012, 2:00 pm
Anyone Can Be a Victim of Fraud Florida’s Financial Industry Regulatory Authority said that investment-fraud victims tend to be well-educated males who have higher levels of income and education than non-victims. [read post]
14 May 2012, 11:25 am
A Financial Industry Regulatory Authority ("FINRA") arbitration panel has awarded Ashley Furniture Industries, Inc. [read post]
14 May 2012, 2:00 am
These new regulatory burdens will weigh not just on the real estate industry and borrowers generally, but also on the Department of Corporations. [read post]
13 May 2012, 12:00 pm
This fact underlines the importance of the outcome of the deliberations of the SEC and of the Financial Stability Oversight Counsel in this area.While hopeful that US authorities will take action, observed the UKofficial, if they do not, the EU and other global authorities will need to determine what if any measures they could sensibly take to make the financial system more resilient to the fault line that the money fund industry currently represents. [read post]
10 May 2012, 9:12 am
Funding portals must become members of a national securities association registered under Exchange Act Section 15A; funding portals must therefore become members of the Financial Industry Regulatory Authority (FINRA), as FINRA is the only such organization. [read post]
