Search for: "Financial Industry Regulatory Authority"
Results 9321 - 9340
of 11,239
Sorted by Relevance
|
Sort by Date
7 Mar 2017, 6:53 pm
Legislative findings and authority. [read post]
8 Mar 2018, 9:30 pm
The authors noted that the evidenced-based approach will be difficult because gathering and evaluating evidence is costly and complex, but they explained that an evidence-based framework would allow agencies “to predict, evaluate, and improve regulatory outcomes. [read post]
3 May 2010, 5:05 am
Furthermore, we believe uneven regulatory controls and reported contamination incidents compel companies to protect their long-term financial interests by taking measures beyond regulatory requirements to reduce environmental hazards. [read post]
4 Feb 2020, 7:30 am
More specifically, and arising from long practice, the financial services sector. [read post]
26 Sep 2013, 9:35 am
And it “provides for the general welfare of tourists and visitors, promotes the tourism industry, and ensures that tour guides have a minimal level of competence and knowledge. [read post]
15 Aug 2023, 1:32 am
FINRA Arbitration FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. [read post]
16 Oct 2011, 2:59 am
" An open dialogue, true science, transparency, and empowering inspectors to document visible insanitary conditions will be much more successful to promote public health goals than broadly sweeping agency regulatory actions. [read post]
16 Jul 2018, 2:09 pm
In order to recover their losses, investors must file arbitration claims with the Financial Industry Regulatory Authority (FINRA). [read post]
16 Apr 2009, 2:48 am
Financial Industry Regulatory Authority Subscription Required [read post]
9 Jul 2007, 12:47 pm
So it doesn't seem as if the Texas regulatory authorities are lowering the bar too too low. [read post]
18 Feb 2010, 9:53 am
Restrictions on Placement Agents Expand current ban on private equity placement agents to include placement agents and third-party marketers for all types of funds, where such agents and marketers are exclusively providing “finder” or introduction services; Ease current ban on private equity placement agents to allow use of placement agents who provide legitimate value-added services such as due diligence and similar professional services on behalf of prospective investors; Require such… [read post]
16 Oct 2020, 5:57 am
This database, maintained by the Financial Industry Regulatory Authority (FINRA), provides information about brokers’ and brokerage firms’ registrations, complaints and disciplinary proceedings. [read post]
25 May 2010, 12:03 pm
We must also replace New York’s ineffective economic development efforts with a new strategy organized around regional industry clusters; reduce the high costs of doing business in the state; and support small businesses by increasing access to capital and streamlining regulatory barriers. 5. [read post]
15 Jun 2018, 6:00 am
Bureau of Industry and Security. [read post]
12 Jun 2012, 3:45 pm
Written by: Jay Gould and Peter Chess The Financial Industry Regulatory Authority (“FINRA”) released new guidance last month regarding new FINRA Rule 2111 (the “Suitability Rule”), which requires a broker-dealer to have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through reasonable diligence by the… [read post]
25 Oct 2010, 5:47 am
I am a certified mediator in Mississippi as well as a public arbitrator for the Financial Industry Regulatory Authority (FINRA) where I serve on arbitration panels deciding disputes in the securities field. [read post]
30 Aug 2011, 7:05 pm
" Securities Regulators Urge Investors to Use Caution when Investing in Floating Rate Funds The Financial Industry Regulatory Authority (FINRA) recently issued an "investor alert" to warn investors who may be attracted to the high return promised by floating rate funds. [read post]
5 Jan 2012, 6:11 am
You can 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]
16 Apr 2018, 6:54 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
15 May 2018, 1:01 am
The debate was reported in balanced way in the Guardian and the Financial Times. [read post]
