Search for: "Financial Industry Regulatory Authority"
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26 Sep 2011, 7:43 am
The Financial Industry Regulatory Authority (FINRA) is reportedly finalizing a proposed rule that would decrease the time that broker-dealers have to estimated the value a nontraded REIT. [read post]
23 Sep 2011, 10:21 am
The Financial Industry Regulatory Authority or FINRA ordered Richard H. [read post]
22 Sep 2011, 4:08 pm
In 2011, the Financial Industry Regulatory Authority (FINRA) fined UBS $2.5 million and ordered $8.25 million in restitution for UBS’s misconduct in selling Lehman so-called Principal Protected notes. [read post]
21 Sep 2011, 5:12 pm
The Financial Services Authority The Financial Services Authority operates a statutory “fit and proper person” test with regard to authorised persons in the financial services industry. [read post]
21 Sep 2011, 6:36 am
He is a widely published author, teacher, trainer, and policymaker. [read post]
21 Sep 2011, 2:00 am
Fourth, U.S. regulators have created significant discretion and flexibility in terms of timing for both themselves and the industry. [read post]
20 Sep 2011, 2:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced it has fined Pointe Capital, Inc. [read post]
20 Sep 2011, 11:37 am
The Court also found that the state's goals were met by a self-regulatory ratings practice. [read post]
20 Sep 2011, 10:26 am
In late May, the Financial Industry Regulatory Authority (FINRA) filed a complaint against David Lerner Associates related to distribution and valuation issues. [read post]
19 Sep 2011, 2:33 pm
The Financial Industry Regulatory Authority (FINRA) recently fined UBS Financial Services, Inc. $2.5 million, and required the firm to pay $8.25 million in restitution to customers. [read post]
19 Sep 2011, 8:14 am
FINRA, the Financial Industry Regulatory Authority, is the watchdog agency for the financial brokerage industry. [read post]
19 Sep 2011, 5:37 am
The US hedge fund industry opposes legislation authorizing an SRO for investment advisers and believes that the existing framework of SEC regulation of private fund managers, as enhanced in a number of respects by the Dodd-Frank Act and regulatory implementation of the Act, is effective and should remain place. [read post]
18 Sep 2011, 4:29 pm
The deregulation of the banking industry, which had begun under President Carter and been completed during Clinton’s second term, coupled with extraordinarily lax regulation of the nonbank banks (such as Goldman Sachs, Merrill Lynch, and Lehman Brothers) by the Securities and Exchange Commission (which had the principal regulatory authority over the nonbank banks) under the last chairman appointed by Bush, lax regulation of insurance companies (such as AIG) by state… [read post]
17 Sep 2011, 4:07 am
The travelers subsequently claimed that the seizure and later efforts to institute forfeiture proceedings were unconstitutional and sued in Las Vegas, where they were heading, lived at least part time, and suffered the inconvenience of arriving with absolutely no money, as well as other financial injuries. [read post]
16 Sep 2011, 8:24 am
A third source has been regulatory agencies staffed by industry cronies more interested in protecting their industries than the public. [read post]
16 Sep 2011, 6:00 am
Petitioner filed a Financial Industry Regulatory Authority (FINRA) Arbitration Statement of Claim in September 2010 claiming alleged negligence, breach of contract, and breach of fiduciary duty.... [read post]
16 Sep 2011, 1:40 am
Risk Financial Services. [read post]
15 Sep 2011, 12:10 pm
On September 28, 2007, the Financial Industry Regulatory Authority (andquot;FINRAandquot;), formerly known as NASD Regulation, Inc., ordered Morgan Stanley to establish a $9.5 million settlement fund for certain securities arbitration claimants whom were denied certain E-mails and updates to the firmandrsquo;s Supervisory Manual in connection with their arbitration claims against Morgan Stanley. [read post]
15 Sep 2011, 2:00 am
Yesterday the House Committee on Financial Services held a hearing to discuss draft legislation that would authorize self-regulatory groups like the Financial Industry Regulatory Authority (FINRA) to examine investment advisers. [read post]
14 Sep 2011, 12:08 pm
He says the government is stepping up its enforcement and beginning to flex its considerable regulatory authority more robustly. [read post]
