Search for: "Financial Industry Regulatory Authority"
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19 Feb 2012, 1:24 pm
Since, right now, the third-party assessment industry is virtually non-existent [ALERT: Good job opportunities out there!] [read post]
18 Feb 2012, 1:59 am
The TRC also would have the authority to work collaboratively with industry stakeholder groups, local and state authorities, and others interested parties whose expertise the TRC might require. [read post]
17 Feb 2012, 3:01 pm
Earlier this month, the Financial Industry Regulatory Authority (FINRA) released a letter addressing broker-dealer's practices in recommending high-yield products to clients. [read post]
16 Feb 2012, 12:58 pm
Bill Huizenga (R-MI), the author of the legislation, noted that the Dodd-Frank Act specifically failed to safeguard the proprietary information that HR 4014 protects. [read post]
16 Feb 2012, 11:00 am
The report also falls into the trap of blurring the financial health of the incumbent news industry with the future of journalism. [read post]
16 Feb 2012, 9:50 am
Last Tuesday, the Financial Industry Regulatory Authority (FINRA) issued a watch list announcing a crackdown on ‘yield chasing’ (risky or nontraded REITs, VAs and private placements). [read post]
16 Feb 2012, 7:12 am
The Financial Industry Regulatory Authority ("FINRA") announced it has censured and fined Citigroup $750,000 for the firm's failure to retain millions of e-mails sent by or to approximately 2,800 Citigroup brokers. [read post]
16 Feb 2012, 6:44 am
One of the biggest TIC sponsors, DBSI Inc., declared bankruptcy in 2008, and broker-dealers that sold those deals have faced dozens of arbitration complaints filed with Financial Industry Regulatory Authority Inc. [read post]
16 Feb 2012, 1:59 am
Very different language is used by different parts of the industry for both "small" and "local. [read post]
15 Feb 2012, 12:12 pm
The charge would also create a financial incentive for companies to use water more efficiently. [read post]
15 Feb 2012, 9:33 am
An elderly couple has been awarded $1.4 million by an arbitration panel of the Financial Industry Regulatory Authority (FINRA) in a claim involving sales of two tenant-in-common exchanges (TICs). [read post]
15 Feb 2012, 9:00 am
Securities Arbitration Law firm announced that it will continue to investigate and pursue securities arbitration claims against Merrill Lynch and other firms on behalf of investors who sustained losses using the Financial Industry Regulatory Authority’s (“FINRA”) office of Dispute Resolution. [read post]
15 Feb 2012, 8:31 am
The Financial Industry Regulatory Authority (FINRA) is taking a closer look at a fast-growing alternative investment known as a non-traded business development company (BDC). [read post]
15 Feb 2012, 8:08 am
Last week, a Financial Industry Regulatory Authority ("FINRA") arbitration panel awarded an elderly California couple $1.4 million for losses in two tenant-in-common ("TIC") investments. [read post]
15 Feb 2012, 7:42 am
He says the government is stepping up its enforcement and beginning to flex its considerable regulatory authority more robustly. [read post]
15 Feb 2012, 3:03 am
In a Financial Industry Regulatory Authority (? [read post]
15 Feb 2012, 3:01 am
In a Financial Industry Regulatory Authority (? [read post]
15 Feb 2012, 2:58 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
14 Feb 2012, 2:33 pm
Department of Treasury and has authority to monitor all aspects of the insurance industry. [read post]
14 Feb 2012, 9:15 am
Housing Industry is not cooperating. [read post]
