Search for: "Financial Industry Regulatory Authority"
Results 9161 - 9180
of 11,239
Sort by Relevance
|
Sort by Date
16 Mar 2012, 3:47 am
In a Financial Industry Regulatory Authority (? [read post]
16 Mar 2012, 12:00 am
Successful media moguls of the future might well be those who demand not resist more state regulation of printed, broadcast or online output: hopefully happy in the knowledge that they have less to hide than the state itself, but more likely knowing that they can profit from stability in their industry as well as hide behind regulatory principles and practices. [read post]
15 Mar 2012, 9:00 pm
A bipartisan bill was introduced in the Senate (S. 2184) that would provide financial support to the fishing industry and would seek to improve management of our oceans.Melanie Ann Pustay, director of the Justice Department's Office of Information Policy testified to the Senate Judiciary Committee that lawmakers need to protect against disclosures of material about cybersecurity and critical U.S. computer networks. [read post]
15 Mar 2012, 9:22 am
In a Financial Industry Regulatory Authority (? [read post]
15 Mar 2012, 7:56 am
Though the article’s authors seem to support a worldwide recall on metal-on-metal total hip replacement devices, the Medicines and Healthcare products Regulatory Agency (MHRA—the British answer to the FDA) seems to believe that clinical data on the subject is “mixed. [read post]
15 Mar 2012, 2:31 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
15 Mar 2012, 1:33 am
And it seems like that when the FDIC next updates the authorized lawsuit figures on its website, there will be yet other lawsuits authorized. [read post]
14 Mar 2012, 2:43 pm
Senator Arlen Specter “Alarmingly, the new target of foreign espionage is our industrial base. [read post]
14 Mar 2012, 9:39 am
Financial Industry Regulatory Authority (FINRA) arbitrators have ordered Citigroup on multiple occasions to pay millions to those who invested in the MAT/ASTA funds. [read post]
14 Mar 2012, 9:10 am
As a representative of New York City, the financial industry is a very important part of our economy. [read post]
14 Mar 2012, 7:24 am
The Financial Industry Regulatory Authority (“FINRA”) is a self-regulatory organization that oversees the financial investment industry and promulgates rules and regulations for broker-dealers and investment advisers. [read post]
14 Mar 2012, 7:24 am
Is the person or company a member of the Financial Industry Regulatory Authority (FINRA)? [read post]
14 Mar 2012, 7:08 am
A Financial Industry Regulatory Authority ("FINRA") arbitration panel issued a significant Award against Pacific West Securities ("Pacific West"), a FINRA broker-dealer that previously announced it will shut down. [read post]
14 Mar 2012, 5:55 am
On March 6, a three-person arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $2.1 million to a former client of a broker – William Swayne II – affiliated with the firm. [read post]
13 Mar 2012, 1:49 pm
Sutherland Asbill & Brennan LLP has posted its annual FINRA Sanctions Survey, a review of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA), on its website. [read post]
13 Mar 2012, 1:02 pm
The Financial Industry Regulatory Authority (FINRA), a self-regulatory agency responsible in large part for the oversight of sellers of private placement investments, has issued a number of guidelines and requirements for private placement brokers and has also issued a number of investor alerts designed to protect trusting investors from private placement scams. [read post]
13 Mar 2012, 1:02 pm
The Financial Industry Regulatory Authority (FINRA), a self-regulatory agency responsible in large part for the oversight of sellers of private placement investments, has issued a number of guidelines and requirements for private placement brokers and has also issued a number of investor alerts designed to protect trusting investors from private placement scams. [read post]
13 Mar 2012, 7:40 am
Failed deals and misrepresented investments involving private placements, non-traded real estate investment trusts (REITS) and other alternative financial products resulted in an increased number of enforcement actions and fines by the Financial Industry Regulatory Authority (FINRA) in 2011. [read post]
13 Mar 2012, 6:32 am
On April 11, 2011, an arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Citigroup to pay a record $54 million to investors who suffered losses in ASTA/MAT and several other purported fixed income-related products. [read post]
10 Mar 2012, 3:24 pm
The hedge fund industry supports a robust regulatory framework for the EU Markets in Financial Instruments Directive (MiFID) that includes an effective internal compliance function. [read post]
