Search for: "Financial Industry Regulatory Authority"
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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]
14 Sep 2011, 12:07 pm
He says the government is stepping up its enforcement and beginning to flex its considerable regulatory authority more robustly. [read post]
14 Sep 2011, 12:07 pm
He says the government is stepping up its enforcement and beginning to flex its considerable regulatory authority more robustly. [read post]
14 Sep 2011, 10:58 am
Further, industry called for any regulatory actions to be performed with strict Congressional oversight, preserving a strong government role in the financial sector for the foreseeable future. [read post]
13 Sep 2011, 2:55 pm
Walter observed that the SEC's study suggested three options: (1) the funding of examinations by the SEC from user fees paid the advisers; (2) the creation of a new SRO for investment advisers; and (3) delegating the oversight of firms that are dually registered as both investment advisers and broker-dealers to the Financial Industry Regulatory Authority (FINRA). [read post]
13 Sep 2011, 2:26 pm
The high-pressured telephone cold call and Internet-based sale of penny stocks to unsuspecting and inexperienced brokers have been the target of numerous recent regulatory investigations and prosecutions brought by the Financial Industry Regulatory Authority (FINRA) and the Securities & Exchange Commission. [read post]
13 Sep 2011, 2:26 pm
The high-pressured telephone cold call and Internet-based sale of penny stocks to unsuspecting and inexperienced brokers have been the target of numerous recent regulatory investigations and prosecutions brought by the Financial Industry Regulatory Authority (FINRA) and the Securities & Exchange Commission. [read post]
13 Sep 2011, 9:46 am
The author, Christopher R. [read post]
13 Sep 2011, 6:26 am
The Financial Industry Regulatory Authority is stepping up its bid for more power, telling Congress on Tuesday that it is well equipped "to serve as at least part of the solution" to overseeing the investment advisory industry. [read post]
13 Sep 2011, 5:22 am
Last week, CapWest Securities announced it had filed withdrawal papers with the Financial Industry Regulatory Authority (FINRA). [read post]
12 Sep 2011, 1:08 pm
Representative Spencer Bachus proposes authorizing a self-regulatory organization, the Financial Industry Regulatory Authority, to examine more than 10,000 investment advisory firms. [read post]
12 Sep 2011, 11:59 am
The alphabet soup of financial regulatory agencies appears bogged down in rulemaking quicksand, barely even able to collect the information necessary to do its job. [read post]
12 Sep 2011, 11:59 am
The alphabet soup of financial regulatory agencies appears bogged down in rulemaking quicksand, barely even able to collect the information necessary to do its job. [read post]
12 Sep 2011, 11:48 am
Excessive industry influence is a potential problem in many regulatory domains. [read post]
12 Sep 2011, 10:00 am
In effect, the Council’s main function would be to impose structural checks on regulatory capture and to diffuse the industry’s power to control the regulatory agenda by putting both financial regulators and financial institutions under constant and intense public scrutiny. [read post]
12 Sep 2011, 7:28 am
The Financial Industry National Regulatory Authority, or FINRAandnbsp; has discovered fee abuses at a number of brokers dealers and has slapped them with more than $900,000 in total fines to stop the practice. [read post]
12 Sep 2011, 7:23 am
The Financial Industry National Regulatory Authority, or FINRAandnbsp; has discovered fee abuses at a number of brokers dealers and has slapped them with more than $900,000 in total fines to stop the practice. [read post]
12 Sep 2011, 7:23 am
The Financial Industry National Regulatory Authority, or FINRAandnbsp; has discovered fee abuses at a number of brokers dealers and has slapped them with more than $900,000 in total fines to stop the practice. [read post]
12 Sep 2011, 6:00 am
Industry capture is definitely a big part of an explanation for this regulatory failure. [read post]
9 Sep 2011, 8:40 am
He says the government is stepping up its enforcement and beginning to flex its considerable regulatory authority more robustly. [read post]
