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11 Nov 2011, 1:26 am
The rule would require CUSOs to use GAAP accounting, prepare quarterly financial reports and get annual audits.[1] The board also proposed limiting federally insured state-chartered credit unions’ aggregate cash outlays to a CUSO.[2] Finally, the rule would expand the definition of a CUSO to include CUSO subsidiaries.[3] NCUA stated two reasons for regulatory authority over all CUSOs. [read post]
10 Nov 2011, 2:11 pm
An arbitration panel of the Financial Industry Regulatory Authority, or FINRA, issued the $9.2 million award to the plaintiffs in October 2010 for fraud in the sale of bond funds. [read post]
10 Nov 2011, 1:42 pm
In General DataComm Industries, Inc. v. [read post]
10 Nov 2011, 11:42 am
Earlier this summer, the Financial Industry Regulatory Authority (FINRA) issued a regulatory notice on leveraged and inverse ETFs. [read post]
9 Nov 2011, 9:00 pm
Numerous civil complaints filed with the Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) reveal that a number of retirees from National Grid/Niagara Mohawk have fallen prey to improper investment sales tactics by financial advisors and stockbrokers. [read post]
9 Nov 2011, 2:08 pm
I gathered this evidence by obtaining new reports from state regulators about the title lending industry, examining public disclosure statements by title lenders, interviewing title lenders, and surveying a small group of title lending customers.Additionally, this Article organizes the different legal responses to title lending, creating a taxonomy of regulatory approaches. [read post]
9 Nov 2011, 6:59 am
District Court for the Southern District of New York ruled in favor of Ameriprise and enjoined an arbitration the Belands had instigated before the Financial Industry Regulatory Authority, or FINRA, the 2nd Circuit opinion says. [read post]
8 Nov 2011, 9:56 am
On Sept. 1 the Financial Industry Regulatory Authority notified MF Global it had to increase its capital treatment of certain repurchase transactions collateralized with European sovereign debt because of the volatile value of the collateral. [read post]
7 Nov 2011, 4:48 am
The enforcement chief of the Financial Industry Regulatory Authority, J. [read post]
6 Nov 2011, 4:05 pm
The Financial Times reports that the new evidence has “torpedoed any pretence that no senior News International executives knew the extent of the illegal journalistic activities at the News of the World in the early days of the scandal“. [read post]
6 Nov 2011, 7:24 am
We find that the Duchy is accountable to the Treasury and Parliament for annual financial reports. [read post]
4 Nov 2011, 10:48 am
UBS Securities LLC was fined $12 million and censured by the Financial Industry Regulatory Authority, or FINRA, for widespread system deficiencies and a failure to supervise that led to tens of millions of improper short sales. [read post]
3 Nov 2011, 11:49 am
Seeing the writing on the wall, in September, the Financial Industry Regulatory Authority required MF Global to reduce its leverage by setting aside more capital. [read post]
3 Nov 2011, 11:46 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Securities LLC $12 million for violation of Regulation SHO and its failure to adequately supervise its brokers regarding short sale transactions. [read post]
3 Nov 2011, 11:43 am
The Securities and Exchange Commission announced that it has ordered the Financial Industry Regulatory Authority (FINRA) to hire an independent consultant to evaluate and recommend improvements to FINRA's compliance policies, procedures and staff training regarding the integrity of documents produced to the SEC. [read post]
3 Nov 2011, 10:35 am
Insurers fear, however, that including ORSA as part of Form B will result in each insurer legal entity within the group being required to file its own ORSA report with its respective domiciliary insurance regulatory authority, thus leading to much duplication of effort. [read post]
31 Oct 2011, 10:38 am
Since the Financial Industry Regulatory Authority (FINRA) amended its rules effective January 31, 2011 to allow investors who file securities arbitration claims to opt for an “all-public” panel with no ties to the securities industry (as FINRA defines “ties”), 77 percent of eligible investors have done so, according to Linda Fienberg, president of FINRA Dispute Resolution, which administers arbitration proceedings. [read post]
31 Oct 2011, 9:26 am
The Board will focus on gaining a greater understanding of the potential benefits to investors and potential cost and regulatory burdens. [read post]
28 Oct 2011, 3:20 pm
As a result of the three submissions of altered documents in eight years, the Securities and Exchange Commission, or SEC, has ordered the Financial Industry Regulatory Authority, or FINRA, to hire an independent consultant as a means to improve its document preparation policies and procedures. [read post]
28 Oct 2011, 3:07 pm
The Financial Industry Regulatory Authority (FINRA) does, according to the Securities and Exchange Commission. [read post]
