Search for: "Financial Industry Regulatory Authority"
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14 Feb 2012, 6:55 am
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]
13 Feb 2012, 1:30 pm
At least as drafted it looks like the entire regulatory burden will fall on the end-users – people in the financial industry, the electric utility industry and such – rather than on any of the Internet service providers. [read post]
13 Feb 2012, 10:30 am
Speaking on behalf of the members of the global alternative investment community at the 10th Annual Financial Services Conference in Brussels, Managed Funds Association Chair William Goodell discussed the industry's views on a number of relevant public policy initiatives and participated in a panel discussion with Verena Ross, Executive Director of the newly formed European Securities and Markets Authority, and Markus Ferber, a Member of the European Parliament who… [read post]
13 Feb 2012, 7:26 am
Wrynn played a key role in developing national and international regulations and policies governing the insurance industry. [read post]
12 Feb 2012, 6:48 pm
Banking lawyers and risk officers will be spending the weekend poring over comment letters in an effort to convince regulatory authorities to tweak the rules. [read post]
12 Feb 2012, 3:20 am
He said: “The key would be to make the cards available only to members of print newsgathering organisations or magazines who have signed up the new body and its code… The public at large would know journalists carrying such cards are bone fide operators committed to a set of standards and a body to who complaints can be made…I think the beauty of the system, the attraction of the system, is it will be the newspaper industry registering and disciplining journalists, not… [read post]
10 Feb 2012, 12:04 pm
The Financial Industry Regulatory Authority (FINRA) also is apparently interested in non-traded BDCs. [read post]
10 Feb 2012, 2:47 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
10 Feb 2012, 1:35 am
Perhaps that is why the Commission refuses to accept that delays will occur and the Financial Services Authority (FSA) is still urging firms to prepare for 2014.This uncertainty creates legal and regulatory risk. [read post]
9 Feb 2012, 1:41 pm
William Satchell, a financial services regulatory partner in the Washington office of Allen & Overy, was also on the team. [read post]
8 Feb 2012, 11:20 am
In a move that signals the need for heightened due diligence and supervision among financial advisory firms, the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 12-03 in relation to complex products last month. [read post]
8 Feb 2012, 8:05 am
SIFMA/ISDA petition to delay CFTC position limitsOn February 7, the Securities Industry and Financial Markets (“SIFMA”) and the International Swaps and Derivatives Association (“ISDA”) asked a federal court to block CFTC position limits. [read post]
8 Feb 2012, 7:39 am
Compiled from online public domain resources, provided for your review/use is this week's update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and announcements. [read post]
8 Feb 2012, 7:23 am
As Wall Street continues to question why its business is declining, a recent Financial Industry Regulatory Authority (FINRA) arbitration case provides part of the answer. [read post]
8 Feb 2012, 4:53 am
In a Financial Industry Regulatory Authority (? [read post]
7 Feb 2012, 10:34 am
In a Financial Industry Regulatory Authority (? [read post]
7 Feb 2012, 7:31 am
Investors can also review the employment and complaint history of a stockbroker through the Financial Industry Regulatory Authority (FINRA)'s BrokerCheck database (www.finra.org/Investors/ToolsCalculators/BrokerCheck) and investment advisors at the SEC's Investment Adviser Public Disclosure database (www.adviserinfo.sec.gov). [read post]
6 Feb 2012, 11:27 am
The Financial Industry Regulatory Authority has issued a Regulatory Notice (12-03, Jan. 2012) to “remind” its member firms of their sales practice obligations with regard to complex products, and to provide them “guidance” in exercising heightened scrutiny and supervision over marketing and sales of complex products. [read post]
6 Feb 2012, 10:56 am
” According to the Financial Industry Regulatory Authority (FINRA) CRD for Kale Edgar Evans, he was registered with FINRA member firm First Allied Securities, Inc. from 12/2007 until 01/2010. [read post]
6 Feb 2012, 8:04 am
The CFPB has indicated that it wants to provide “lenders and settlement agents with a document that is easy to use and reduces unneeded regulatory burden,” so industry suggestions will also play a role in shaping the next proposed form. [read post]
