Search for: "Financial Industry Regulatory Authority"
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16 Dec 2011, 10:09 am
A cause of action obviously increases the potential financial exposure to companies. [read post]
16 Dec 2011, 10:02 am
Financial Industry Regulatory Authority (FINRA) proposing to amend its circuit breaker structure and thresholds, IIROC is now considering whether to continue its coordination with U.S. circuit breakers, adopt Canada-specific parameters for the triggering of circuit breakers, or adopt a hybrid approach. [read post]
16 Dec 2011, 9:32 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Investments $2 million and ordered it to pay restitution to customers for unsuitable sales of reverse convertible securities, and other misconduct. [read post]
16 Dec 2011, 7:01 am
The Financial Industry Regulatory Authority (FINRA) announced that is has fined Wells Fargo Investments, LLC (Wells Fargo) $2 million related to the sales of unsuitable reverse convertible notes to elderly customers. [read post]
15 Dec 2011, 11:52 am
Today, the Financial Industry Regulatory Authority (FINRA) announced that Wells Fargo Investments, LLC was fined $2 million for making unsuitable investments in connection with the sale of reverse convertible notes and for failing to provide required sales charge discounts on Unit Investments Trust (UIT) transactions. [read post]
15 Dec 2011, 8:17 am
For Targets that are industrial companies, legal due diligence will often include the Buyer hiring an environmental consultant to perform a “phase one” environmental analysis of the Target’s current and former facilities. [read post]
15 Dec 2011, 6:14 am
” The word “abusive” in particular has raised industry concerns, as it appears on its face to be an open-ended mandate. [read post]
15 Dec 2011, 6:05 am
That could only occur when the regulated entity is in control of the regulator.We don't need FINRA expanding its power and authority over yet another facet of the financial industry, increasing its ability to quash competition. [read post]
15 Dec 2011, 4:22 am
The leading authorities in this area do not involve the toxic tort claims as advanced here. [read post]
15 Dec 2011, 12:22 am
At the same time, governments around the world have responded to the recent financial crisis by bolstering their regulatory capability. [read post]
14 Dec 2011, 10:14 am
When serving as an IRA custodian for financial accounts, trustees and custodians under IRS §408(b) also owe additional contractual obligations, as well as being required to follow the “Know Your Customer Rule” of the Financial Industry Regulatory Authority (FINRA) and certain other types of retirement accounts subject to ERISA, the Employee Retirement Income Security Act. [read post]
14 Dec 2011, 10:14 am
When serving as an IRA custodian for financial accounts, trustees and custodians under IRS §408(b) also owe additional contractual obligations, as well as being required to follow the “Know Your Customer Rule” of the Financial Industry Regulatory Authority (FINRA) and certain other types of retirement accounts subject to ERISA, the Employee Retirement Income Security Act. [read post]
14 Dec 2011, 7:47 am
Opponents of a bill that would shift the oversight of investment advisors from the Securities and Exchange Commission (SEC) to another entity such as the Financial Industry Regulatory Authority (FINRA) are gratified that the introduction of the bill has been delayed for several months, according to an aide to House Financial Services Committee Chairman Spencer Bachus, R-Ala. [read post]
14 Dec 2011, 6:24 am
Even taking a neutral stance on the question of whether or not more regulation is necessary, it is clear that it is the lobbying efforts of the financial industry and special interests which have led to the current regulatory regime, not an inability of regulators and congressional leaders to understand derivatives. [read post]
14 Dec 2011, 6:24 am
Even taking a neutral stance on the question of whether or not more regulation is necessary, it is clear that it is the lobbying efforts of the financial industry and special interests which have led to the current regulatory regime, not an inability of regulators and congressional leaders to understand derivatives. [read post]
13 Dec 2011, 12:15 pm
‘‘(b) RULEMAKING AUTHORITY. [read post]
13 Dec 2011, 4:02 am
Earlier this month, the Insurance Regulatory and Development Authority (IRDA) issued norms for IPOs by life insurance companies. [read post]
10 Dec 2011, 5:06 pm
The US hedge fund industry has asked Hong Kong authorities to require mandatory access to OTC derivatives clearing for all eligible market participants that desire to clear on a voluntary basis as part of the derivatives regulatory regime being erected in Hong Kong. [read post]
9 Dec 2011, 8:44 am
., has been sanctioned by the Financial Industry Regulatory Authority, or FINRA, for engaging in churning and unsuitable trading in the accounts of two customers. [read post]
9 Dec 2011, 7:55 am
Taxpayer Bailout Mathur helped to create one of Abbar’s transactions, according to an arbitration claim Abbar has filed with the Financial Industry Regulatory Authority. [read post]
