Search for: "Financial Industry Regulatory Authority"
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12 Oct 2011, 10:37 am
The Financial Industry Regulatory Authority (FINRA) issued an investor alert on non-traded REITs in September in which it outlined potential risks of the products. [read post]
12 Oct 2011, 10:28 am
The Financial Industry Regulatory Authority (formerly the National Association of Securities Dealers) regulates and oversees the brokerage industry. [read post]
12 Oct 2011, 3:00 am
UBS acted as an underwriter and broker of auction rate securities and was a member of the Financial Industry Regulatory Authority (FINRA). [read post]
11 Oct 2011, 1:23 pm
Authors will be notified whether their paper proposals are selected by January 15, 2012. [read post]
11 Oct 2011, 9:36 am
-based broker-dealer Citigroup Global Markets Inc., which was named in the arbitration suit the pair filed with the Financial Industry Regulatory Authority in August. [read post]
11 Oct 2011, 9:27 am
Oct. 6 (Bloomberg) -- A Citigroup Inc. unit sued two Saudi investors seeking to block Financial Industry Regulatory Authority arbitration of their $383 million claim that the bank “wiped out” their family’s wealth. [read post]
10 Oct 2011, 1:45 pm
The letter was also signed by the Financial Services Roundtable Significantly, said the industry groups, stable value contracts and stable value funds do not pose systemic risk concerns. [read post]
10 Oct 2011, 8:08 am
It was interesting reading these two blog posts, since both authors are wicked smart, experts in their respective fields, and very opinionated (not that there’s anything wrong with that). [read post]
7 Oct 2011, 9:04 pm
The Financial Industry Regulatory Authority is a top candidate for the role and has expressed interest in taking on this new responsibility. [read post]
7 Oct 2011, 4:03 pm
A federal circuit court has ruled that the Financial Industry Regulatory Authority Inc., or FINRA, cannot collect fines through court judgments, leaving investors to wonder how effective the self-regulatory organization can be as a disciplinary body. [read post]
7 Oct 2011, 1:39 pm
Krawcheck has given up her seat on the board of the Financial Industry Regulatory Authority. [read post]
7 Oct 2011, 9:01 am
Bank of America subsidiary Merrill Lynch, Pierce, Fenner andamp; Smith Inc. has been fined $1 million by the Financial Industry Regulatory Authority, or FINRA, for failure to supervise one of its stockbrokers at its branch office in San Antonio, Texas. [read post]
6 Oct 2011, 3:07 pm
The lack of clarity and transparency in this process continues to cause severe financial and resource allocation problems for the regulated industry. [read post]
6 Oct 2011, 12:58 pm
Coordinated, sophisticated, national regulatory consultation for troubled companies doing business nationally. [read post]
6 Oct 2011, 9:08 am
The Exchange Act does not authorize the Financial Industry Regulatory Authority (FINRA) to bring federal court actions to collect disciplinary fines it imposed on its members, ruled a panel of the Second Circuit Court of Appeals. [read post]
6 Oct 2011, 7:31 am
The Financial Industry Regulatory Authority (FINRA) has issued an Investor Alert regarding non-traded Real Estate Investment Trusts (REITs). [read post]
6 Oct 2011, 7:23 am
Merrill Lynch agreed to pay $1 million to settle charges by the Financial Industry Regulatory Authority (FINRA) that it failed to supervise Bruce Hammonds, a San Antonio-based representative, who was ‘selling away’ from the firm by operating a $1 million dollar Ponzi scheme for more than 10 months. [read post]
6 Oct 2011, 6:09 am
As discussed at the ADR Prof Blog, the Second Circuit held that an issuer who purchases auction-facilitating services for its auction rate securities from a broker-dealer is a “customer” of that broker-dealer within the meaning of the Financial Industry Regulatory Authority (“FINRA”) Rule 12200. [read post]
6 Oct 2011, 6:09 am
As discussed at the ADR Prof Blog, the Second Circuit held that an issuer who purchases auction-facilitating services for its auction rate securities from a broker-dealer is a “customer” of that broker-dealer within the meaning of the Financial Industry Regulatory Authority (“FINRA”) Rule 12200. [read post]
6 Oct 2011, 2:00 am
Congress enact legislation to require the creation of one or more SROs to oversee investment advisers, allocate the task to the Financial Industry Regulatory Authority (FINRA), or impose “user fees” on registered investment advisers to fund the SEC’s investment adviser examination program. [read post]
