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13 Jan 2012, 12:25 pm
The Proposals would further provide that: A qualified person must participate in a contingency fund that protects the assets entrusted to it by its counterparties, or comply with minimum working capital requirements as calculated on Form 31-103F1 Calculation of Excess Working Capital4 or under the Joint Regulatory Financial Questionnaire and Report of the Investment Industry Regulatory Organization of Canada (IIROC). [read post]
13 Jan 2012, 11:25 am
The Financial Industry Regulatory Authority (FINRA) continues to pay close attention to issues related to non-traded REITs, including how they are sold and valuated. [read post]
12 Jan 2012, 2:28 pm
The Financial Industry Regulatory Authority (“FINRA”) recently fined Wells Fargo & Co. $2 million recently for the actions of Alfred Chi Chen, a retail investment advisor registered with the firm. [read post]
12 Jan 2012, 1:26 pm
The Guiliano Law Firm has arbitrated numerous claims before the Financial Industry Regulatory Authority. [read post]
12 Jan 2012, 1:26 pm
The Guiliano Law Firm has arbitrated numerous claims before the Financial Industry Regulatory Authority. [read post]
12 Jan 2012, 6:28 am
These failures have ushered in a new era of shareholder activism and corporate governance initiatives, including extensive legislative reform efforts and new rules by the Securities and Exchange Commission (SEC), the New York Stock Exchange (NYSE) and the Financial Industry Regulatory Authority (FINRA). [read post]
11 Jan 2012, 3:23 pm
A Financial Industry Regulatory Authority arbitration panel has ordered Oppenheimer & Co. to repurchase the $5.98 million in New Jersey Turnpike ARS that it sold Nicole Davi Perry in 2007. [read post]
11 Jan 2012, 1:45 pm
Attorneys, as well as stock brokers and other registered representatives under Financial Industry Regulatory Authority (FINRA), should be aware that special rules apply to their non-compete agreements in New York. [read post]
11 Jan 2012, 7:53 am
All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority) (f/k/a the NASD). [read post]
11 Jan 2012, 6:00 am
” The Financial Industry Regulatory Authority (otherwise known as “FINRA”) is the product of a 2007 merger between the NYSE’s former enforcement arm and the National Association of Securities Dealers (NASD). [read post]
10 Jan 2012, 3:41 am
The stockbroker named in the Financial Industry Regulatory Authority? [read post]
9 Jan 2012, 7:32 pm
But his speech could send a shiver through the nation’s financial industry, which has looked with dread upon the new bureau with its broad regulatory authority. [read post]
9 Jan 2012, 2:54 pm
The Financial Industry Regulatory Authority (FINRA) has echoed the January Alert in recent releases, such as Regulatory Notice 11-39 from August 2011. [read post]
9 Jan 2012, 8:15 am
The purpose of the rule would be to provide more consistency and certainty in the context of defensive tactics and decrease the need for regulatory intervention. [read post]
9 Jan 2012, 5:00 am
Mortensen and the ‘Three Cups of Tea’ Scandal – In April, a New York Times best-selling author, Greg Mortensen, and the nonprofit organization he founded, Central Asia Institute (CAI), were the center of a "60 Minutes" segment raising allegations such as private inurement to Mortensen from CAI in helping to fund Mortensen’s speaking engagements, fabricated stories in Mortensen’s best-selling book, and misleading representations by CAI about the use of… [read post]
8 Jan 2012, 7:53 pm
This means that, for these customers, many of whom are frequent overdraft users, financial institutions are required to confirm the availability of funds prior to authorizing point-of-sale debit or ATM transactions. [read post]
7 Jan 2012, 8:39 pm
The Commissioner accepted APRA’s principal argument that the disclosure of the 12 risk registers could reasonably be expected to have a substantial adverse effect on those sectors by influencing the decisions and actions of individual entities within the banking, insurance and other financial institution sectors, that are regulated by APRA and may take action to evade possible regulatory action by APRA should the risk registers be disclosed. [read post]
7 Jan 2012, 11:10 am
In this spirit, the UK Financial Reporting Council will shortly develop a consensus about what constitutes a proper explanation under a comply and explain code.In its letter to the Commission, the Federal Republic was highly skeptical of requiring regulators or other authorities to monitor the comply or explain responses of German companies under the corporate governance code, which is a job best left to the markets. [read post]
6 Jan 2012, 4:28 pm
On August 18, 2011, the Financial Industry Regulatory Authority, Inc. [read post]
6 Jan 2012, 9:07 am
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) recently jointly issued a Risk Alert and a Regulatory Notice on broker-dealer branch office inspections designed to help securities industry firms better supervise their branch offices, as well as to underscore the importance of that supervision. [read post]
