Search for: "Financial Industry Regulatory Authority"
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24 Aug 2011, 8:51 am
And boy, am I ever glad I did: "Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies ... [read post]
UK Tribunal Upholds FSA Decision to Ban Hedge Fund Managers for Deceiving Investors and Market Abuse
23 Aug 2011, 4:06 pm
The Tribunal concluded that neither of them is fit to work in any capacity within the financial services industry. [read post]
23 Aug 2011, 2:00 am
” These investors, who are referred to as Authorized Participants (APs), must enter into a contract with the ETFs and are typically large institutional investors. [read post]
22 Aug 2011, 5:53 pm
The analogy between the legal profession to other deregulated industries, such as the airline industry, that the authors cite, is simply not relevant. [read post]
22 Aug 2011, 5:27 pm
As with the flash cookie cases, I'm curious about the FTC's role in the regulatory quagmire. [read post]
22 Aug 2011, 5:15 am
In 2009, the Financial Industry Regulatory Authority (FINRA) issued a notice to broker/dealers of non-traded REITs prohibiting them from using data that was more than 18 months old to estimate the value of the products. [read post]
22 Aug 2011, 2:00 am
Bowman, Acting Director of the OTS regarding Federal Regulator Perspectives on Financial Regulatory Reform Proposals before the House Committee on Financial Services, 111th Cong. [read post]
19 Aug 2011, 5:54 am
By 2001, the industry was clamoring for guidance. [read post]
18 Aug 2011, 10:48 am
Housing Authority (1988) 200 Cal.App.3d 635 (Hanif),[1] Hamilton argued that because only the amounts paid by plaintiff and her insurer could be recovered, the larger amounts billed by the providers were irrelevant and should be excluded. [read post]
16 Aug 2011, 5:08 am
The Commission has had the authority to adopt a large trader regime for 20 years. [read post]
15 Aug 2011, 4:19 pm
While Section 941 applies the risk retention rules to all asset-backed securities, not just to mortgage-backed securities, the associations believe that the performance of non-mortgage-backed securities sectors throughout the financial crisis should be given significant weight in the regulalatory deliberations and use of exemptive authority. [read post]
15 Aug 2011, 4:19 pm
While Section 941 applies the risk retention rules to all asset-backed securities, not just to mortgage-backed securities, the associations believe that the performance of non-mortgage-backed securities sectors throughout the financial crisis should be given significant weight in the regulalatory deliberations and use of exemptive authority. [read post]
15 Aug 2011, 12:00 am
A number of critics have posed this question to the Financial Industry Regulatory Authority (FINRA), the country’s largest independent securities regulator which oversees over 4,500 financial brokerage and securities firms. [read post]
13 Aug 2011, 9:05 am
[The failure to purchase insurance] in no way “burdens” or “obstructs” Congress’s ability to enforce its regulation of the insurance industry. . . . [read post]
12 Aug 2011, 4:01 am
Filed under: fiduciary duties, financial regulation [read post]
11 Aug 2011, 12:51 am
Users in smaller, financially less attractive national markets will also suffer from the resulting territorial discrimination. [read post]
10 Aug 2011, 6:19 pm
Citigroup Global Markets, Inc has been fined $500,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise and detect securities fraud committed by former Smith Barney sales assistant Tamara Moon who worked in the firm's Palo Alto, California, branch office. [read post]
9 Aug 2011, 9:06 am
Similar to the SEC website is the Financial Industry Regulatory Authority website, located at finra.org. [read post]
8 Aug 2011, 2:03 am
” Committee members heard from state regulators, as well as various industry executives, a consumer advocate and others, regarding topics spanning from systemic risk in the insurance sector to reform in the producer licensing system.John Huff, Director of the Missouri Department of Insurance, Financial Institutions, and Professional Registration, and non-voting member of the Financial Stability Oversight Council (“FSOC”), provided a… [read post]
7 Aug 2011, 7:34 am
In February, Workman reached an agreement with the Financial Industry Regulatory Authority (FINRA) to pay $700,000 for partial restitution to more than a dozen clients who had sued the B-D over investments in both Provident Royalties and Medical Capital. [read post]
