Search for: "Financial Industry Regulatory Authority"
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9 Sep 2011, 7:30 am
Legislation to be introduced by Financial Services Committee Chair Spencer Bachus (R-Ala) would require investment advisers registered with the SEC and with state authorities to join a self-regulatory organization overseen by the SEC. [read post]
9 Sep 2011, 5:47 am
Regulatory failures during the Financial Crisis resulted at least in part from a lack of sufficient incentives for examiners to act aggressively to prevent excessive risk. [read post]
8 Sep 2011, 2:26 pm
FINRA (the Financial Industry Regulatory Authority) is concerned that the current low yield on traditional safe investments is causing investors to reach for higher yield, unfortunately through riskier investments. [read post]
7 Sep 2011, 9:21 am
Sallie Krawcheck won a spot on the board of the Financial Industry Regulatory Authority in August. [read post]
7 Sep 2011, 4:58 am
In a firm commitment public offering with an SEC and Financial Industry Regulatory Authority (FINRA)-registered underwriter, investors are provided the same level of protection as in any initial public offering. [read post]
7 Sep 2011, 1:23 am
Even just taking account of the lawsuits that have already been authorized, there are many more suits to come, and undoubtedly even more lawsuits will be authorized. [read post]
6 Sep 2011, 2:00 am
Hanson says the industry might even consider Cordray a “scarier choice” than Warren. [read post]
5 Sep 2011, 9:32 am
Next up, we'll discuss the Financial Industry Regulatory Authority Regulatory Notice 11-39, which gives the NLRB memo a run for its money. [read post]
2 Sep 2011, 7:34 pm
Perlow is a frequent speaker and author on topics relating to investment management and the law, and he teaches a class at the UC Berkeley School of Law on the structure and regulation of capital markets and financial institutions. [read post]
2 Sep 2011, 1:04 pm
The author of this blog is Douglas McNabb. [read post]
1 Sep 2011, 4:15 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in May, June, July and August 2011: Midas Securities, LLC, in Anaheim, CA, was fined $80,000 in connection with a finding by FINRA that they failed to reasonably supervise registered representatives in the sale of unregistered securities. [read post]
1 Sep 2011, 11:58 am
The disciplinary-action database of FINRA, Financial Industry Regulatory Authority, reveals at least 50 disciplinary actions involving misappropriation or conversion of funds in the first three quarters of this year, up from about 20 during the same period in 2005. [read post]
31 Aug 2011, 10:27 am
That alternative interpretation is consistent with the Court’s treatment of the rest of the statute, it is consistent with an analogous regulatory scheme, – federal common law regulation of the enforcement of collective bargaining agreements – and it reflects a division of lawmaking authority that would have been familiar to the Congress that passed the FAA in 1925. [read post]
30 Aug 2011, 7:05 pm
" Securities Regulators Urge Investors to Use Caution when Investing in Floating Rate Funds The Financial Industry Regulatory Authority (FINRA) recently issued an "investor alert" to warn investors who may be attracted to the high return promised by floating rate funds. [read post]
30 Aug 2011, 11:46 am
" Shifting all sourcing to places such as Canada or Australia may drive up industry and consumer costs somewhat. [read post]
30 Aug 2011, 6:38 am
In a firm commitment public offering of that size with an SEC and Financial Industry Regulatory Authority (FINRA)-registered underwriter, investors are provided the same level of protection as in a $40 million offering. [read post]
27 Aug 2011, 7:40 am
• Increased focus of global regulatory compliance. [read post]
26 Aug 2011, 11:32 am
Last month, the Financial Industry Regulatory Authority (FINRA) issued an investor alert cautioning investors about the risks of the products. [read post]
25 Aug 2011, 5:41 pm
Furthermore, failure to comply with the Authority’s judgements or requests would entail financial sanctions, and these too would be backed by the force of law. [read post]
25 Aug 2011, 9:10 am
The Financial Industry Regulatory Authority (andquot;FINRAandquot;), Office of Dispute Resolution, (formerly NASD Dispute Resolution, Inc.) reports that as of 2003, of the 663,000 registered representatives in the country in 2003, only 2,751 or 0.41 % have been the subject of three or more customer initiated investment related complaints or arbitrations. [read post]
