Search for: "Financial Industry Regulatory Authority"
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4 Aug 2011, 4:06 pm
FINRA (Financial Industry Regulatory Authority) recently raised an issue concerning excessive postage and handling fees being charged by a number of small and mid-sized broker-dealers. [read post]
4 Aug 2011, 12:56 pm
As Judge Sutton explained, “inaction is action, sometimes for better, sometimes for worse, when it comes to financial risk. [read post]
4 Aug 2011, 12:38 pm
Do we need more industrial economists in addition to the (relatively few) financial economists on the Commission staff? [read post]
4 Aug 2011, 7:37 am
The health insurance industry alone is already one of the largest industries in the nation, with most of it dominated by large companies that operate in interstate markets. [read post]
4 Aug 2011, 5:00 am
” Just for fun, the GAO included ETFs in the study given their popularity and some similar legal structures The GAO reviewed Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) rules and studies related to mutual fund advertising’s impact on investors. [read post]
3 Aug 2011, 12:55 am
International Capital & Management Company arbitrated a dispute against Bear Stearns before the Financial Industry Regulatory Authority (“FINRA”). [read post]
1 Aug 2011, 12:58 pm
Colleen is a member of the Financial Industry Group (“FIG”), a global team of transactional, regulatory, and litigation attorneys serving the needs of financial institution clients. [read post]
1 Aug 2011, 7:38 am
” Galvin’s probe into leveraged and inverse ETFs began in July 2009, shortly after the Financial Industry Regulatory Authority (FINRA) issued a warning about the products and their suitability for long-term investors. [read post]
29 Jul 2011, 3:47 pm
The securities industry wants the Department of Labor to coordinate with the SEC regarding a proposal to redefine the term “fiduciary” under the Employee Retirement Income Security Act (ERISA), effectively changing 35 years of established regulatory certainty. [read post]
29 Jul 2011, 12:59 pm
On July 26, 2011, the Financial Industry Regulatory Authority ("FINRA") announced that it fined SunTrust Robinson Humphrey ("SunTrust RH") and SunTrust Investment Services ("SunTrust IS") for violations in connection with the sale of auction rate securities ("ARS"). [read post]
29 Jul 2011, 6:00 am
She is widely recognized for her experience helping design and implement legally compliant self-insured and insured health reimbursement, mini-med, high-deductible health plans, limited benefit plans, 24-hour and occupational medicine, ex-pat and medical tourism, deductible reimbursement and other creative health benefit programs to solve a wide range of financial and other challenges while coping with changing regulatory and market realities. [read post]
29 Jul 2011, 1:30 am
Rick is also the co-author of the Cyberinquirer blog. [read post]
28 Jul 2011, 1:54 pm
Investors who have suffered losses investing in non-traded REITs and other unsuitable investments may be able to recover their losses through the securities arbitration process administered by the Financial Industry Regulatory Authority ("FINRA"). [read post]
28 Jul 2011, 6:29 am
SEC reviews of certain financial sales practices may also reflect these influences. [read post]
27 Jul 2011, 1:33 pm
We must ensure that regulatory actions related to this application safeguard the irreplaceable natural resource of the Ogallala Aquifer. [read post]
27 Jul 2011, 10:35 am
The Financial Industry Regulatory Authority (FINRA) has issued an investor alert warning against chasing yield with structured products, junk bonds and floating-rate bank-loan funds. [read post]
27 Jul 2011, 5:45 am
The Financial Industry Regulatory Authority (FINRA) has fined SunTrust Robinson Humphrey (SunTrust RH) and SunTrust Investment Services (SunTrust IS) $5 million for violations connected to sales of auction-rate securities. [read post]
27 Jul 2011, 2:43 am
Nor does creating statutory preemptions that foreclose certain private causes of action and conferring standing only upon the regulators and prosecutors make sense in view of the limitations of resources of government and regulatory authorities. [read post]
26 Jul 2011, 9:12 am
On July 25, the Financial Industry Regulatory Authority (FINRA) issued an Investor Alert on this very subject. [read post]
26 Jul 2011, 7:59 am
Authorities "notified me to get a lawyer and a damn good one," Mr. [read post]
