Search for: "Financial Industry Regulatory Authority"
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9 Mar 2012, 8:44 pm
The FTC and US White House recently commended the industry for its self-regulatory program. [read post]
5 Mar 2012, 12:03 pm
Her preemption analysis examined the broad regulatory authority granted under the Locomotive Inspection Act. [read post]
5 Mar 2012, 11:51 am
The Financial Industry Regulatory Authority recently announced that it has fined Wells Investment Securities, Inc. $300,000 for using misleading marketing materials in the sale of Wells Timberland REIT, Inc. [read post]
5 Mar 2012, 11:51 am
The Financial Industry Regulatory Authority recently announced that it has fined Wells Investment Securities, Inc. $300,000 for using misleading marketing materials in the sale of Wells Timberland REIT, Inc. [read post]
2 Mar 2012, 2:08 pm
FINRA (Financial Industry Regulatory Authority) has taken disciplinary actions against the following individuals for violations of FINRA rules and federal securities laws, rules and regulations. [read post]
2 Mar 2012, 9:05 am
Recently a Financial Industry Regulatory Authority (FINRA) Panel, according to the NY Times, awarded an investor $1.38 million for his losses in the Lyon Capital Management collateralized loan obligation (CLO). [read post]
2 Mar 2012, 9:05 am
Recently a Financial Industry Regulatory Authority (FINRA) Panel, according to the NY Times, awarded an investor $1.38 million for his losses in the Lyon Capital Management collateralized loan obligation (CLO). [read post]
1 Mar 2012, 3:12 pm
One complicating factor is shared regulatory authority. [read post]
1 Mar 2012, 3:44 am
In a Financial Industry Regulatory Authority (? [read post]
1 Mar 2012, 1:42 am
Our Global Financial Services Regulatory Group: As part of Reed Smith's Financial Industry Group's 200 lawyers, our Financial Services Regulatory Group (FSRG) offers sophisticated bank regulatory and retail finance compliance advice. [read post]
29 Feb 2012, 7:04 am
Bad move, according to the Financial Industry Regulatory Authority (FINRA). [read post]
29 Feb 2012, 3:02 am
First and foremost, this is a Financial Industry Regulatory Authority (? [read post]
29 Feb 2012, 2:22 am
In a Financial Industry Regulatory Authority (? [read post]
28 Feb 2012, 10:43 am
The Financial Industry Regulatory Authority, Inc. [read post]
27 Feb 2012, 1:16 pm
The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012 because they feel that “concerns relative to business conduct and suitability issues are heightened.” [read post]
27 Feb 2012, 1:16 pm
The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012 because they feel that “concerns relative to business conduct and suitability issues are heightened. [read post]
27 Feb 2012, 7:42 am
British Columbia also wants access to Asian markets for its natural gas industry. [read post]
26 Feb 2012, 8:56 pm
Certain sector-specific regulators, such as the Airports Economic Regulatory Authority of India (AERA), are specifically mandated by the parent legislation to undertake effective consultation with stakeholders. [read post]
26 Feb 2012, 10:19 am
The Authority worries that the financial burden of such claims could make regulation impossible, or at least call into question the validity of existing permits. [read post]
25 Feb 2012, 3:13 pm
While the Financial Industry Regulatory Authority has thought about cracking down on private REITS, Forbes.com says that the SRO hasn’t done a lot in this respect. [read post]
