Search for: "Financial Industry Regulatory Authority"
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17 Apr 2012, 6:36 pm
Stamer has extensive experience advising and assisting health care providers, health plans, their business associates and other health industry clients to establish and administer medical privacy and other compliance and risk management policies, to health care industry investigation, enforcement and other compliance, public policy, regulatory, staffing, and other operations and risk management concerns. [read post]
17 Apr 2012, 6:40 am
In March 2009, the Financial Industry Regulatory Authority (FINRA) officially opened an inquiry into non-traded REITs and the broker/dealers responsible for marketing and selling the products to investors. [read post]
16 Apr 2012, 1:41 pm
The Financial Industry Regulatory Authority Inc. [read post]
16 Apr 2012, 1:27 pm
Miller was linked by FINRA (Financial Industry Regulatory Authority)document to sales of unregistered stock in a venture known as IdleAire. [read post]
16 Apr 2012, 8:26 am
FINRA, the Financial Industry Regulatory Authority, also permits its regulated stock brokers to obtain a form of expungement. [read post]
15 Apr 2012, 6:12 pm
He is in fact retired from the investment advisory industry, and is not in a position to commit future violations of the securities laws. [read post]
15 Apr 2012, 5:51 pm
Colona noted five factors working against the full implementation of the law: (1) the CFTC and SEC are far behind schedule; (2) the regulatory authority under the Act is shared by too many entities; (3) recent comments from the Federal Reserve Bank suggest that the Volcker Rule may not become law because of its impossibility to implement; (4) the financial services industry has unleashed a full-scale effort to defeat the full implementation of the Act; and (5)… [read post]
13 Apr 2012, 8:55 pm
Federal Reserve Chair Benjamin Bernanke said the Fed is working to address regulatory failures revealed by 2008 financial crisis. [read post]
13 Apr 2012, 11:57 am
Selman, Executive Vice President, Regulatory Policy, of the Financial Industry Regulatory Authority. [read post]
12 Apr 2012, 1:07 pm
As EU authorities ready technical standards under the European Market Infrastructure Regulation (EMIR) for OTC derivatives, the hedge fund industry has asked for certain assurances and clarifications around risk mitigation. [read post]
12 Apr 2012, 11:18 am
The Financial Industry Regulatory Authority (“Finra”) recently announced the approval of new Finra Rule 3230 by the U.S. [read post]
12 Apr 2012, 7:37 am
So too have the Financial Industry Regulatory Authority (FINRA) and the National Association of Securities Dealers (NASD) before it. [read post]
12 Apr 2012, 6:03 am
The Financial Industry Regulatory Authority may also adopt rules regulating "funding portals" for issuers. [read post]
12 Apr 2012, 12:24 am
I mostly agree with that, although the U.S. government does work furiously on behalf of sectors like financial services and entertainment, sometimes I think to the detriment of other industries. [read post]
10 Apr 2012, 9:28 am
In a letter to the MAS, the Managed Funds Association said it greatly appreciated the Authority’s consideration of ongoing international development and the efforts of other countries to implement their G-20 commitments to regulate OTC derivatives, as well as the Authority’s ongoing work on OTC derivative reforms carried out by the Financial Stability Board and various international bodies. [read post]
10 Apr 2012, 7:47 am
(B) Will the proposed form of information control require a significant increase in regulatory bureaucracy? [read post]
8 Apr 2012, 9:56 pm
Shulman took over the position as IRS Commissioner in 2008, after working as the Vice Chairman of the National Industry Regulatory Authority. [read post]
6 Apr 2012, 6:27 am
State securities regulators, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are now looking into the volatility surrounding the VelocityShares, as well as the marketing efforts of firms that market it and other ETNs to investors. [read post]
5 Apr 2012, 8:52 am
The statement’s author? [read post]
5 Apr 2012, 6:53 am
A Boca Raton, Florida Financial Industry Regulatory Authority ("FINRA") Arbitration Panel has rendered a large award in favor of two former Merrill Lynch, Pierce, Fenner & Smith ("Merrill") brokers. [read post]
