Search for: "Financial Industry Regulatory Authority"
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17 Oct 2011, 12:17 pm
Author Robert Elliott, executive vice president, Amaxx Risks Solutions, Inc. has worked successfully for 20 years with many industries to reduce Workers Compensation costs, including airlines, healthcare, printing/publishing, pharmaceuticals, retail, hospitality and manufacturing. [read post]
17 Oct 2011, 11:33 am
Massive lawsuits and regulatory actions ensued, with reverberations being felt again today from one of the insurance industry’s most costly and notorious failures. [read post]
17 Oct 2011, 7:27 am
Court of Appeals in Manhattan to overrule a decision by the Financial Industry Regulatory Authority, the independent regulatory group for the securities industry. [read post]
17 Oct 2011, 7:13 am
The financial services industry is likely to face more intrusive and judgment-based regulation once the new structure is adopted. [read post]
17 Oct 2011, 5:00 am
Financial Industry Regulatory Authority, 2011 U.S. [read post]
17 Oct 2011, 4:30 am
Filed under: consumer protection, credit cards, economics, federal communications commission, financial regulation, net neutrality [read post]
17 Oct 2011, 2:59 am
At a joint FSIS/industry meeting in Great Falls, Montana, on Saturday, Oct. 5, 2002, the manager of the Minneapolis DO took his turn responding to industry questions. [read post]
16 Oct 2011, 2:59 am
" An open dialogue, true science, transparency, and empowering inspectors to document visible insanitary conditions will be much more successful to promote public health goals than broadly sweeping agency regulatory actions. [read post]
15 Oct 2011, 6:02 am
Significantly, the ruling appears to extend to all “self-regulatory organizations” ("SROs"). [read post]
15 Oct 2011, 6:02 am
Significantly, the ruling appears to extend to all “self-regulatory organizations” ("SROs"). [read post]
14 Oct 2011, 2:10 pm
Court of Appeals in the Second Circuit, arguing as it did last fall in district court that the Financial Industry Regulatory Authority arbitration panel that awarded the sum ignored the law. [read post]
14 Oct 2011, 12:51 pm
After the Financial Industry Regulatory Authority, or FINRA, found that Raymond James Financial Services Inc. had charged excessive commissions in about 13,500 customer accounts due to a failure to supervise, the firm agreed to pay more than $750,000 plus interest to the customers, as well as a $200,000 fine. [read post]
14 Oct 2011, 12:00 pm
Financial Industry Regulatory Authority published proposed amendments to its rules that would require its members and associated persons that offer or sell private placements, as well as those that participate in the preparation of private placement memoranda, term sheets or other related disclosure documents in connection with a private placement, to provide disclosure to investors regarding the anticipated use of the offering proceeds prior to sale. [read post]
14 Oct 2011, 11:24 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Societe Generale SA and affiliates to pay $61 million to Aurum STS Aggressive Trading LLC, a California fund manager. [read post]
14 Oct 2011, 5:00 am
Financial Industry Regulatory Authority, 2011 U.S. [read post]
13 Oct 2011, 4:29 pm
2nd Circuit Holds that FINRA Lacks Statutory Authority and FINRA Rule was Invalid The Securities Exchange Act of 1934 (the “Exchange Act”) authorizes the Financial Industry Regulatory Authority (“FINRA”) and other SROs to regulate within the securities industry. [read post]
13 Oct 2011, 7:22 am
Though the CFTC has regulatory authority over most types of derivatives, but the SEC specifically has jurisdiction over “security-based” swaps such as credit default swaps. [read post]
13 Oct 2011, 12:00 am
Louis School of Law’s New York City Regulatory & Business Externship.Offered for the first time this fall, the semester-long clinical experience includes a variety of legal externship opportunities, including those with the Financial Industry Regulatory Authority, New York City Department of Finance, Standard & Poor’s/McGraw Hill, Securities and Exchange Commission, New York Attorney General’s Office, Anheuser-Busch’s New… [read post]
12 Oct 2011, 3:40 pm
” Do the authors mean to exclude the plaintiffs’ lawyer litigation industry, which has grown so large and politically powerful in this country? [read post]
12 Oct 2011, 1:37 pm
The broker-dealers firms are overseen by both the SEC and the Financial Industry Regulatory Authority, or FINRA, a self-regulatory organization. [read post]
