Search for: "Financial Industry Regulatory Authority"
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28 Oct 2011, 1:12 am
We will also coordinate with the Office of Financial Research to reduce reporting burdens by avoiding unnecessary or redundant data requests. [read post]
27 Oct 2011, 2:42 pm
Plaintiffs have not cited to a single statutory or regulatory authority that imposes any additional responsibilities upon a generic manufacturer who is subsequently and unilaterally designated an RLD by FDA. . . . [read post]
27 Oct 2011, 2:23 pm
Securities and Exchange Commission announced that it has ordered the Financial Industry Regulatory Authority (FINRA) to hire an independent consultant and undertake other remedial measures to improve its policies and procedures for producing documents during SEC inspections. [read post]
27 Oct 2011, 12:51 pm
The SEC announced today that it has sanctioned FINRA (the Financial Industry Regulatory Authority) by ordering it to hire an independent consultant and to take other measures to improve its polices and procedures relating to producing documents during SEC inspections. [read post]
27 Oct 2011, 9:24 am
Citing weaknesses in the Financial Industry Regulatory Authority’s training, policies and procedures, the SEC ordered FINRA to hire an independent consultant and undertake other remedial measures to improve its document production during SEC inspections.As charged, the director of FINRA’s Kansas City office caused the alteration of three records of staff meeting minutes just hours before producing them to the SEC inspection staff, making the documents… [read post]
27 Oct 2011, 7:20 am
Dishonest or unethical behavior is the most commonly reported industry violation. [read post]
27 Oct 2011, 6:56 am
Some, like those businesses regulated by securities laws, require arbitration through a particular arbitration entity like FINRA – Financial Industry Regulatory Authority. [read post]
26 Oct 2011, 11:20 am
So what does the Financial Industry Regulatory Authority, formerly the National Association of Securities Dealers, do when a broker fails in his or her duties to protect your investment, in this stressful economic time? [read post]
26 Oct 2011, 7:00 am
In a judgment released earlier this month, the United States Court of Appeals for the Second Circuit found that the Financial Industry Regulatory Authority, which regulates securities firms doing business in the U.S., lacks the authority to bring court actions to collect disciplinary fines. [read post]
25 Oct 2011, 9:51 am
Perhaps in response to large scale fraud of the kind surrounding the private placements of companies like Provident Royalties LLC, on Oct. 5, the Financial Industry Regulatory Authority, or FINRA, filed a new rule proposal with the Securities and Exchange Commission, or SEC. [read post]
24 Oct 2011, 12:50 pm
However, the authors' clearly understand that every industry must play a part, especially the financial and healthcare industries. [read post]
24 Oct 2011, 4:52 am
It’s hard to believe that, what with Elizabeth Warren and all, consumers could not have gotten the message that the capitalists are trying to cheat them, particularly in the financial services industry. [read post]
21 Oct 2011, 2:39 pm
Oct. 12, 2011), the plaintiffs were financial advisors whose employment agreements required arbitration of disputes before the Financial Industry Regulatory Authority ("FINRA"). [read post]
21 Oct 2011, 2:03 pm
On Oct. 6, the Financial Industry Regulatory Authority, or FINRA, executed an order accepting an offer of settlement submitted by Simone on Sept. 26, wherein the former lawyer agreed to be barred from associating with any FINRA member in any capacity. [read post]
21 Oct 2011, 6:03 am
On 11 October 2011, the Financial Services Authority (FSA) published its final guidance on the selling of general insurance through price comparison websites. [read post]
20 Oct 2011, 7:17 am
., filed a request with the Financial Industry Regulatory Authority, or FINRA, to withdraw as a broker-dealer. [read post]
19 Oct 2011, 5:01 am
Financial Industry Regulatory Authority, 2011 U.S. [read post]
18 Oct 2011, 9:56 am
According to the Financial Industry Regulatory Authority (FINRA), Lerner allegedly provided misleading performance figures for Apple REITs and implied that future investments could be expected to achieve similar results. [read post]
18 Oct 2011, 5:00 am
Financial Industry Regulatory Authority, 2011 U.S. [read post]
17 Oct 2011, 1:38 pm
UBS Financial Services Inc. has agreed to settle charges brought by the Financial Industry Regulatory Authority, or FINRA, alleging that UBS failed to supervise a stockbroker who stood on both sides of multiple municipal bond trades to and from his customersandrsquo; retail accounts. [read post]
