Search for: "Financial Industry Regulatory Authority"
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10 May 2012, 9:11 am
Claim at issue derives from regulatory scheme/resolution by those with expertise is deemed essential to a regulatory scheme: right should be integrally related to a regulatory objective. [read post]
10 May 2012, 8:30 am
On April 25, Financial Industry Regulatory Authority (“FINRA”) expelled broker-dealer Pinnacle Partners Financial Corp. and its president, Brian Alfaro, from membership after they failed to respond to allegations that they made fraudulent sales involving oil and gas private placements and unregistered securities in violation of Section 10(b) of the Securities Exchange Act of 1934. [read post]
10 May 2012, 2:00 am
The JOBS Act explicitly prohibits the SEC and the Financial Industry Regulatory Authority (FINRA) from adopting or maintaining any rule in connection with an initial public offering by an emerging growth company that would restrict a research analyst from participating, alongside other associated persons of a brokerdealer, in meetings and communications with the management of an emerging growth company. [read post]
9 May 2012, 6:25 am
Another large group in the financial service industry has come forward to oppose authorizing the Federal Industry Regulatory Authority (FINRA) to become the self regulatory organization (SRO) for investment advisers. [read post]
8 May 2012, 10:55 am
Private funds should consider and continue to comply with advertising and disclosure rules as applicable to registered advisers and members of the Financial Industry Regulatory Authority (“FINRA”). [read post]
8 May 2012, 6:13 am
The Financial Industry Regulatory Authority (FINRA) has proposed a rule which would allow individuals who are not named as parties to a customer-initiated arbitration case to seek expungement relief by initiating "In re" expungement proceedings. [read post]
8 May 2012, 2:00 am
The Financial Services Institute (FSI) voiced its support for the legislation and the creation of an SRO in order to help even the playing field for many of its “retail” investment advisers who compete against independent broker-dealers who are examined routinely and closely regulated by the Financial Industry Regulatory Authority (FINRA). [read post]
7 May 2012, 10:05 am
As a retail investment, non-traded REITs have taken a beating in the financial media over the past year, with regulators – including the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) – launching repeated inquiries into the broker/dealers who sold the investments to investors. [read post]
7 May 2012, 8:52 am
To allow for the smooth movement of capital, nations must coordinate their regulatory controls on the financial industry. [read post]
7 May 2012, 8:13 am
And I think one of the issues we’re going to be dealing with is, given the nature of CAT,” is cost allocation, said Thomas Gira, Executive Vice President for Market Regulation at the Financial Industry Regulatory Authority. [read post]
7 May 2012, 6:28 am
The Financial Industry Regulatory Authority (FINRA) has responded to the Boston Consulting Group (BCG) study that estimated the cost of FINRA becoming the investment adviser self regulatory organization (SRO). [read post]
7 May 2012, 1:45 am
Martin Wheatley was previously the head of the SFC in Hong Kong and is now with the FSA and soon to be boss at the UK Financial Conduct Authority or FCA. [read post]
5 May 2012, 10:37 am
The government’s responsibility here is to regulate the loan modification industry to protect consumers. [read post]
4 May 2012, 6:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts’ public appearances. [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
3 May 2012, 4:58 pm
" Neota Logic applications deliver "legal and regulatory guidance to business people when and where they need it—while business is being done, 24/7, anywhere. [read post]
3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
3 May 2012, 10:39 am
Ultimately, even a successful regulatory regime will not be sufficient to ensure good outcomes. [read post]
3 May 2012, 5:33 am
Several of the nation’s leading banks – including Citigroup, Morgan Stanley, UBS and Wells Fargo – were recently sanctioned by the Financial Industry Regulatory Authority (FINRA) for more than $9.1 million over their failure to supervise retail sales of leveraged and inverse exchange-traded funds (ETFs). [read post]
3 May 2012, 4:01 am
The role and status of new media; converging content across print, broadcasting and online platforms; and financial austerity are just some of these testing issues. [read post]
