Search for: "Financial Industry Regulatory Authority"
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5 Jan 2012, 6:49 am
Herskovits PLLC will provide legal representation to broker-dealers, securities industry professionals and investors in securities litigation, securities arbitration and securities industry regulatory defense matters before the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC) and state securities authorities. [read post]
5 Jan 2012, 6:46 am
The Government Accountability Office report produced in response to the Dodd-Frank Act failed to make a strong recommendation between two primary regulatory options – a multi-faceted regulatory approach in which different federal and state agencies would exercise authority over different aspects of on-line P2P lending, or a single-regulator approach, in which a single agency (most likely the new Consumer Financial Protection Bureau) would be given total… [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]
4 Jan 2012, 10:23 pm
The Financial Industry Regulatory Authority has issued similar guidance for brokerage firms it oversees. [read post]
4 Jan 2012, 1:22 pm
His job will be to protect families like yours from the abuses of the financial industry. [read post]
4 Jan 2012, 12:33 am
Simply put, the numbers vary over time, because, for example, contagion events and industry epidemics happen. [read post]
3 Jan 2012, 9:21 pm
Carey has over 25 years of experience in the financial services and retirement industry. [read post]
3 Jan 2012, 3:46 pm
In this spirit, the UK Financial Reporting Council will shortly develop a consensus about what constitutes a proper explanation. [read post]
3 Jan 2012, 2:02 pm
The Securities and Exchange Commission (SEC), the North American Securities Administrators Association and the Financial Industry Regulatory Authority have issued separate and joint warnings to investors about leveraged and inverse exchange-traded funds. [read post]
3 Jan 2012, 2:35 am
In the case of a managing agent, investors will need to obtain consent from both the Financial Services Authority (FSA) and from the Council of Lloyd’s. [read post]
1 Jan 2012, 4:18 pm
She also is recognized for her publications, industry leadership, workshops and presentations on these and ot [read post]
30 Dec 2011, 1:42 pm
Concern over the clarity of these investments has led the Office of Investor Education and Advocacy of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) to issue alerts recently explaining the ins-and-outs of REITS, especially those REITS that are not publicly traded. [read post]
30 Dec 2011, 1:06 pm
In 2010 and 2011, an increase in investor complaints regarding private placements caused the Financial Industry Regulatory Authority (FINRA) to launch a nationwide investigation of broker/dealers marketing and selling the products. [read post]
30 Dec 2011, 12:37 pm
— The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Edward D. [read post]
30 Dec 2011, 12:00 am
See related RegBlog post.The Financial Industry Regulatory Authority fined Credit Suisse $1.75 million over alleged regulatory noncompliance related to its short sale orders. [read post]
29 Dec 2011, 12:00 am
Over time, Congress has turned over ever-greater amounts of regulatory authority to an ever-expanding array of federal agencies. [read post]
28 Dec 2011, 3:18 pm
It argued that the reality of the modern securities industry is such that a coordinated national approach to regulation is required in order to adequately protect investors and to ensure the integrity and stability of the financial system. [read post]
28 Dec 2011, 12:21 pm
CMS will likely continue to expand this program for hospitals and already authorized states to identify other provider-preventable conditions and health care acquired conditions under Medicaid by final rule10 effective July 1, 2011. [read post]
27 Dec 2011, 6:56 pm
A US judge has denied Citigroup’s request that the $54.1M Financial Industry Regulatory Authority arbitration award issued to investors that sustained losses in municipal bond funds be overturned. [read post]
27 Dec 2011, 10:49 am
(Citigroup) issued by a Financial Industry Regulatory Authority (FINRA) arbitration panel in April. [read post]
