Search for: "Financial Industry Regulatory Authority"
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20 Apr 2011, 7:40 am
This Act, among other things, authorized significant appropriations for various federal agencies including the Department of Justice (“DOJ”), FBI, and SEC to hire new agents and staff to investigate and prosecute financial fraud. [read post]
8 Jan 2020, 11:31 am
Anti-Money Laundering AML is a repeat priority for OCIE as it is for all regulators in the financial industry regulatory space. [read post]
20 Oct 2020, 5:17 am
If you are a Christopher Fernan investor, you should be aware that Fernan failed to appear for an on-the-record testimony requested by Financial Industry Regulatory Authority (FINRA) in connection to the customer complaint. [read post]
8 Jan 2020, 11:31 am
Anti-Money Laundering AML is a repeat priority for OCIE as it is for all regulators in the financial industry regulatory space. [read post]
20 Oct 2020, 5:17 am
If you are a Christopher Fernan investor, you should be aware that Fernan failed to appear for an on-the-record testimony requested by Financial Industry Regulatory Authority (FINRA) in connection to the customer complaint. [read post]
16 Jun 2009, 7:46 pm
BANK LAW EXPERT: THOUGHTS ON NEW REGULATIONS Financial institutions law expert James Wheeler, a partner at the international law firm, says the Obama Administration is not shy about wanting to change the financial regulatory landscape, but says all the talk about regulating the banking industry is nothing new. [read post]
5 Aug 2010, 3:49 pm
According to the Financial Industry Regulatory Authority (FINRA), however, a reverse convertible is, in substance, the investor selling a put option to the issuer! [read post]
8 Jan 2012, 7:53 pm
This means that, for these customers, many of whom are frequent overdraft users, financial institutions are required to confirm the availability of funds prior to authorizing point-of-sale debit or ATM transactions. [read post]
28 Apr 2022, 10:52 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
6 Jun 2023, 10:52 am
More generally, protectionist interventions to impose financial obligations on successful players are unsuited to address the European competitive and industrial gap. [read post]
22 Dec 2019, 9:17 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
24 Sep 2012, 3:13 pm
This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Merrill Lynch for deficiencies in required disclosure reports and for often failing to file such reports. [read post]
28 Nov 2016, 12:31 pm
In addition, many are predicting a boom for M&A in specific industries, such as pharmaceuticals. [read post]
Fifth Circuit Vacates DOL Fiduciary Rule While SEC Pushes Forward with Goal of Fiduciary Duty Reform
27 Mar 2018, 3:34 pm
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
23 Apr 2010, 11:19 am
The Financial Industry Regulatory Authority has said that leveraged exchange traded funds are unsuitable for “buy-and-hold” investors and most individual investors. [read post]
27 May 2018, 8:56 am
Urban authorities have launched an investigation, and two days of national mourning have been declared. [read post]
4 Aug 2023, 8:08 am
Two models of cultural policy/industrial policies. [read post]
12 Apr 2010, 10:44 am
The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
27 Dec 2018, 9:30 pm
Department of Justice under the court’s Tunney Act authority. [read post]
20 Sep 2018, 4:33 pm
Here is the authors’ article. [read post]
