Search for: "Financial Industry Regulatory Authority"
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25 Feb 2012, 7:14 am
The Financial Regulatory Responsibility Act (S. 1615) would require the SEC and CFTC to provide clear justification for the regulations and determine the economic impacts of proposed rulemakings, including their effects on growth and net job creation. [read post]
25 Feb 2012, 6:31 am
It is regulatory only to a limited extent. [read post]
24 Feb 2012, 2:44 pm
According to the Financial Industry Regulatory Authority (FINRA) CRD, Aaron Donald Vallett was registered with FINRA member firms from December 2001 until June of 2010. [read post]
24 Feb 2012, 2:44 pm
” According to the Financial Industry Regulatory Authority (FINRA) CRD, Aaron Donald Vallett was registered with FINRA member firms from December 2001 until June of 2010. [read post]
24 Feb 2012, 6:46 am
The Financial Industry Regulatory Authority ("FINRA") issued an Investor Alert reminding investors to carefully review their account statements and trade confirmations for potential red flags. [read post]
24 Feb 2012, 6:35 am
Priority has been to reinvesting the SEC to strengthen the regulatory structure and to pull back the veil of the financial industry. [read post]
24 Feb 2012, 4:05 am
Reg. 34300 and (2) the Financial Industry Regulatory Authority, Inc. [read post]
24 Feb 2012, 2:37 am
In a Financial Industry Regulatory Authority (? [read post]
23 Feb 2012, 10:37 pm
Such a warrant could offer rapid authorization and lower costs. [read post]
23 Feb 2012, 2:13 pm
The suspension followed the board’s investigation of a regulatory action by the Financial Industry Regulatory Authority (FINRA). [read post]
23 Feb 2012, 9:18 am
Judge Wooten's judgment confirmed an arbitration award issued by a Financial Industry Regulatory Authority ("FINRA") arbitration panel ordering Wachovia Securities ("Wachovia") to pay $1.1 million in attorneys' fees to four former Wachovia brokers under the South Carolina Frivolous Civil Proceedings Act. [read post]
23 Feb 2012, 2:38 am
In a Financial Industry Regulatory Authority (? [read post]
23 Feb 2012, 2:09 am
In a Financial Industry Regulatory Authority (? [read post]
22 Feb 2012, 11:50 am
Under the Act, the Department of Homeland Security (“DHS”) would have significant responsibility for crafting and enforcing a new cybersecurity program that has the potential to impact a broad and diverse group of the nation’s industrial sectors including energy, chemical, transportation, telecommunication and financial services. [read post]
22 Feb 2012, 2:58 am
In a Financial Industry Regulatory Authority (? [read post]
21 Feb 2012, 10:03 am
References to the Financial Industry Regulatory Authority (FINRA) replace existing references to the National Association of Securities Dealers (NASD) throughout the Illinois securities rules, to reflect the official name of the organization that now regulates broker-dealers and investment advisers, effective February 8, 2012. [read post]
21 Feb 2012, 9:20 am
Many investors have gone on to file complaints with the Financial Industry Regulatory Authority (FINRA). [read post]
21 Feb 2012, 6:33 am
Order that affirmed sanctions imposed by the Financial Industry Regulatory Authority (? [read post]
21 Feb 2012, 3:26 am
Representatives from the Press Board of Finance, Ofcom and the Advertising Standards Authority gave evidence on differing regulatory systems. [read post]
20 Feb 2012, 7:14 am
On February 15, UBS asked the Cook County Circuit Court for an injunction against the two advisers pending an expedited arbitration hearing by the Financial Industry Regulatory Authority Inc. [read post]
