Search for: "Financial Industry Regulatory Authority"
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27 Dec 2011, 10:25 am
The Financial Industry Regulatory Authority (FINRA) has fined Barclays Capital $3 Million for misrepresentations it made regarding historical delinquency data in connection with the issuance of residential subprime mortgage securitizations (RMBS) and its failure to adequately supervise the maintenance and updating of relevant disclosures on its website. [read post]
27 Dec 2011, 9:59 am
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities $1.75 Million for violation of Regulation SHO and its failure to adequately supervise its brokers regarding short sale transactions. [read post]
27 Dec 2011, 12:00 am
A number of critics have posed this question to the Financial Industry Regulatory Authority (FINRA), the country’s largest independent securities regulator which oversees over 4,500 financial brokerage and securities firms. [read post]
26 Dec 2011, 8:55 am
Government Benefits Medicare Secondary Payer Protocol - Although no statutory or regulatory authority requires Medicare set-aside arrangements (MSAs) in third party liability settlements, confusion continues as to whether and when MSAs are necessary and/or appropriate for such cases. [read post]
26 Dec 2011, 7:12 am
The Industry Minister’s comments closely follow a recent C.D. [read post]
26 Dec 2011, 1:02 am
The Second Circuit held that an issuer who purchases auction-facilitating services for its auction rate securities from a broker-dealer is a “customer” of that broker-dealer within the meaning of the Financial Industry Regulatory Authority (“FINRA”) Rule 12200. [read post]
26 Dec 2011, 12:00 am
This is starkly evident when we examine the Chinese telecommunications industry, a testament both to the benefits of market liberalization and the power of the Chinese regulatory state. [read post]
25 Dec 2011, 11:54 am
The Industry Minister’s comments closely follow a recent C.D. [read post]
23 Dec 2011, 9:26 am
Earlier this year, an arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded a Texas man and the estate of his deceased wife $1.7 million, after finding that an independent contractor, Paul Davis of Raymond James Financial Services, sold life insurance and variable annuity products that were inappropriate investments given the couple’s age and risk tolerance. [read post]
23 Dec 2011, 8:56 am
If you found this update of interest, you also may be interested in reviewing some of the other updates and publications authored by Ms. [read post]
23 Dec 2011, 7:40 am
Financial Industry Regulatory Authority. [read post]
22 Dec 2011, 11:00 am
SUPPORTING STATEMENT In our view, compensation practices, especially in the financial sector, have contributed to excessive risk-taking, costly legal and regulatory compliance failures (particularly with respect to mortgages and complex mortgage securities), and socially undesirable behavior. [read post]
22 Dec 2011, 8:27 am
Predictably, private industry observed these trends a long time ago. [read post]
20 Dec 2011, 4:41 pm
Nonetheless, there is no single legislative or regulatory framework but a multitude of different laws for different areas. [read post]
20 Dec 2011, 1:50 pm
I have attempted to change this trend by teaching risk management in my course on "Financial Crimes and Corporate Compliance". [read post]
20 Dec 2011, 1:47 pm
Wells Fargo Investments LLC has been fined $2 million for failure to supervise the conduct of one of its brokers who sold unsuitable reverse convertible securities to elderly customers, the Financial Industry Regulatory Authority, or FINRA, announced on Dec. 15. [read post]
20 Dec 2011, 10:25 am
The Division should have an explicit goal of bringing cases that advance the Commission’s entire regulatory agenda. [read post]
20 Dec 2011, 5:00 am
(c) a description of any and all compensation of any kind provided or agreed to be provided to a placement agent, including the nature, timing and value thereof; (d) a description of the services to be performed by the placement agent (e) a written copy of any and all agreements between the manager and the placement agent (f) in the event that any current or former Massachusetts public pension system board members, employees, consultants or other service providers have suggested… [read post]
19 Dec 2011, 12:33 pm
One example of such an initiative is the Financial Stability Board, the international body recently established to co-ordinate the work of national financial authorities and headed by Bank of Canada governor Mark Carney. [read post]
19 Dec 2011, 2:26 am
Not being perfectly honest with FINRA On December 8, 2011, Steve Luparello, the Vice Chairman of the Financial Industry Regulatory Authority ("FINRA") also testified before the House Committee on Agriculture about MF Global's collapse. [read post]
