Search for: "Financial Industry Regulatory Authority"
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25 Apr 2012, 10:52 pm
Bauchus-McCarthy Bill to Authorize IA SRO House Financial Services Committee Chairman Spencer Bachus (R-LA) and Rep. [read post]
25 Apr 2012, 7:43 pm
All of this discussion about oversight & review of due process presumes that the regulators basically know what they are doing, & exercise their regulatory authority in an appropriate manner. [read post]
25 Apr 2012, 1:58 pm
A plan, introduced by the House Financial Services Committee, would shift oversight from federal authorities to groups backed by the financial industry, most likely the Financial Industry Regulatory Authority. [read post]
25 Apr 2012, 10:40 am
On April 13, after losing an arbitration claim in March for $1.5 million, Cambridge Legacy Securities LLC filed its withdrawal request with the Financial Industry Regulatory Authority (FINRA). [read post]
25 Apr 2012, 8:25 am
According to reports, on April 13, Cambridge Legacy Securities LLC filed its broker-dealer withdrawal request with the Financial Industry Regulatory Authority Inc. [read post]
25 Apr 2012, 8:05 am
The Financial Industry Regulatory Authority (FINRA) announced plans to file enforcement actions against certain brokerages in connection with unsuitable sales of leveraged and inverse leveraged exchange-traded funds (ETFs), as well as for failure to train their brokers who sell them (see Reuters article by Suzanne Barlyn and Jessica Toonkel entitled “FINRA to bring cases over leveraged, inverse ETFs”). [read post]
24 Apr 2012, 9:33 pm
The roundtable brought together representatives from the financial industry, government, legal profession, and scholarly community for an intense discussion of the core challenges presented by the rule. [read post]
24 Apr 2012, 11:46 am
The rule was proposed by the Financial Industry Regulatory Agency, Inc. [read post]
24 Apr 2012, 9:39 am
The Financial Industry Regulatory Authority, Department of Enforcement ("FINRA") has filed a Complaint against Clyde Thornburg ("Thornburg"), a broker employed by NEXT Financial Group, Inc. in Sarasota, Florida. [read post]
24 Apr 2012, 8:45 am
After 42 days of hearings spanning the period from January 2011 to March 2012, a Financial Industry Regulatory Authority ("FINRA") arbitration panel has awarded former U.S. [read post]
24 Apr 2012, 8:45 am
After 42 days of hearings spanning the period from January 2011 to March 2012, a Financial Industry Regulatory Authority ("FINRA") arbitration panel has awarded former U.S. [read post]
23 Apr 2012, 7:51 pm
In other words, the financial institutions industry stands united in its opposition to the CFPB on this particular issue, and they're aligned with the lawyers on this one. [read post]
23 Apr 2012, 8:20 am
In some small towns, the credit unions are the only financial institutions still making loans. [read post]
23 Apr 2012, 5:11 am
Witnesses include James Giddens, trustee of the Securities Investment Protection Act liquidation of MF Global Inc.; Louis Freeh, trustee for MF Global Holdings; Jill Sommers, commissioner of the Commodity Futures Trading Commission; Robert Cook, director of the Securities and Exchange Commission's Division of Trading and Markets; Richard Ketchum, president, chairman and CEO of the Financial Industry Regulatory Authority; and Terrence Duffy, executive chairman… [read post]
22 Apr 2012, 5:32 am
There will be considerable opposition from the banking industry. [read post]
20 Apr 2012, 9:28 pm
The Derivatives Project also believes that there are deficiencies in the Financial Industry Regulatory Authority’s enforcement structure and that this has led to securities law violations. [read post]
20 Apr 2012, 10:11 am
This Court is not constituted an appellate authority over the bank’s exercise of discretion in this area. [read post]
20 Apr 2012, 9:44 am
This Court is not constituted an appellate authority over the bank’s exercise of discretion in this area. [read post]
18 Apr 2012, 9:11 am
Earlier this month, a Financial Industry Regulatory Authority ("FINRA") arbitration panel awarded a customer $1.5 million, including $900,000 in punitive damages, against Dallas-based Cambridge Legacy Securities, LLC ("Cambridge"). [read post]
18 Apr 2012, 5:00 am
Sources: Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies (.pdf) 77 FR 21637 Do You Want to be Systemically Important? [read post]
