Search for: "Financial Industry Regulatory Authority"
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9 Dec 2011, 5:52 am
Or have staffers at financial regulatory agencies become so captured by the industry that they are terrified of alienating potential future employers, or exposing their own past deeds? [read post]
9 Dec 2011, 5:51 am
Or have staffers at financial regulatory agencies become so captured by the industry that they are terrified of alienating potential future employers, or exposing their own past deeds? [read post]
7 Dec 2011, 1:24 pm
For every direct job created in the shale gas sector, more than three indirect and induced jobs are created, a rate higher than the financial and construction industries. [read post]
7 Dec 2011, 8:25 am
The case is being filed with the Financial Industry Regulatory Authority ("FINRA") today for alleged improper supervision and selling away, relating to an alleged Ponzi scheme that devastated a Bronx community. [read post]
6 Dec 2011, 2:41 pm
As Financial Industry Regulatory Authority (FINRA) investor education executive Gerri Walsh was quoted as saying, “The vast majority of investment professionals are hard-working individuals who look out for the interests of their clients and customers. [read post]
6 Dec 2011, 10:18 am
In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a proposal for a new rule, Rule 5123, which would have an impact on the offering of private placements. [read post]
6 Dec 2011, 9:07 am
., has been fined and suspended by the Financial Industry Regulatory Authority, or FINRA, for her failure to supervise a sales assistant who misappropriated almost $750,000 from customers. [read post]
6 Dec 2011, 5:59 am
Taking the lawyers out of finance or blunting their authority by turning them into preachers will not get the results Franke hopes for. [read post]
5 Dec 2011, 12:53 pm
The alert was jointly issued by the Financial Industry Regulatory Authority, or FINRA, and the Securities and Exchange Commissionandrsquo;s Office of Compliance Inspections and Examinations, or OCIE. [read post]
4 Dec 2011, 4:46 pm
The North American Securities Administrators Association (NASAA) recently suggested several ways in which the Financial Industry Regulatory Authority (FINRA) could enhance investor protection by improving the disclosure by FINRA member firms in private placements of securities. [read post]
2 Dec 2011, 10:34 am
Overall, then, this is the two-sided financial squeeze the health insurance industry is confronting under ACA. [read post]
2 Dec 2011, 6:29 am
None of the authors have a financial interest in any organization that could profit from the research presented here. [read post]
2 Dec 2011, 5:00 am
For Wall Street Watchdog, All Grunt Work, Little Glory by Ben Protess in DealBook In an office park 20 miles outside Washington, the Financial Industry Regulatory Authority, Wall Street’s nonprofit self-regulator, has quietly built a small army of market police. [read post]
1 Dec 2011, 4:00 pm
The Financial Industry Regulatory Authority has quietly built a fledgling fraud task force that has entered the front lines to fight insider trading. [read post]
1 Dec 2011, 1:58 pm
In August the Abbars filed a securities arbitration claim with the Financial Industry Regulatory Authority (FINRA), the U.S. securities industry's self-regulator. [read post]
1 Dec 2011, 10:43 am
Eight more broker-dealers and 10 individuals have been sanctioned by the Financial Industry Regulatory Authority, or FINRA, and ordered to pay restitution totaling more than $3.2 million for selling interests in allegedly fraudulent private placements without having a reasonable basis for recommending the securities. [read post]
30 Nov 2011, 9:11 pm
That is, obviously, a purely economic rationale, and that fact is the reason Congress thought — as a constitutional matter — that it had ample authority to impose a sweeping new regulatory regime over that interstate market, which makes up more than 17 percent of the entire national economy. [read post]
30 Nov 2011, 2:15 pm
But, to give you an idea of the impact, in a regulatory filing, Bank of America said that a downgrade of one level would mean that the bank would have to post an additional $5.1 billion as collateral. [read post]
30 Nov 2011, 1:02 pm
He mentioned Notice 05-48 to members of the Financial Industry Regulatory Authority (FINRA) that says members may outsource any function, but they cannot outsource their responsibility for compliance with federal securities laws or regulations. [read post]
30 Nov 2011, 8:19 am
The memo, an exhibit in arbitration proceedings with the Financial Industry Regulatory Authority, warned that Abbar didn’t have the risk-management capability of the large hedge funds that were typical clients of the bank’s “hybrid” desk, which in 2006 was trying to persuade him to move his family’s money into complex derivative securities. [read post]
