Search for: "Financial Industry Regulatory Authority"
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25 Jul 2011, 9:15 am
In June, the Financial Industry Regulatory Authority (FINRA) filed a disciplinary action against broker/dealer David Lerner Associates in connection to the investments. [read post]
24 Jul 2011, 12:00 pm
And, shadow banks that still remain outside of regulatory scrutiny need to be brought into the light. [read post]
24 Jul 2011, 10:56 am
For example, while it is clear that the CFPB does not have the authority to regulate insurance, it could put forth a regulation that actually negatively impacts the industry and the economy, noted Rep. [read post]
22 Jul 2011, 11:39 am
They must also be aware of the special risks and compliance requirements of industry self-regulatory standards, such as the Payment Card Industry Data Security Standard (PCI DSS), and Financial Industry Regulatory Authority (FINRA) requirements, the guidance emphasized. [read post]
22 Jul 2011, 10:28 am
The complaint alleged that the “resident guru” professed celibacy and “commitment t a non-material, physically and financial simple lifestyle. [read post]
22 Jul 2011, 9:00 am
A disciplinary complaint was filed last month by the Financial Industry Regulatory Authority (FINRA) against David Lerner Associates, the sole brokerage that sells Apple REIT shares. [read post]
22 Jul 2011, 8:47 am
As reported July 17 by Investment News, David Lerner continued to list the same price even after the Financial Industry Regulatory Authority (FINRA) instructed broker/dealers in 2009 to adjust prices on the investments more frequently. [read post]
21 Jul 2011, 7:44 am
Enforcement of a relatively new rule of the Financial Industry Regulatory Authority (FINRA) has resulted in significant fees in 2011 for small issuers with securities traded over-the-counter. [read post]
21 Jul 2011, 5:58 am
If not independent, then it cannot fulfill its mission, because the fact is that consumers will never...ever...be on equal footing with the financial industry. [read post]
21 Jul 2011, 5:03 am
Both the public and the press followed these developments closely, and expressed frequent concern, even outrage, at signs that the financial industry might escape the consequences of its role in precipitating the financial crisis. [read post]
21 Jul 2011, 4:54 am
Both the public and the press followed these developments closely, and expressed frequent concern, even outrage, at signs that the financial industry might escape the consequences of its role in precipitating the financial crisis. [read post]
20 Jul 2011, 11:01 pm
For example, the Consumer Financial Protection Bureau today receives authority to enforce numerous consumer financial protection statutes. [read post]
20 Jul 2011, 9:53 am
Chamber of Commerce issued a report yesterday that the Dodd-Frank financial reform laws fail to address transparency and due-process problems at the Financial Industry Regulatory Authority Inc. [read post]
20 Jul 2011, 3:08 am
The standards and procedures are similar to those set forth in the NAIC Suitability in Annuity Transactions Model Regulation, and the Financial Industry Regulatory Authority’s current National Association of Securities Dealers Rule 2310 for securities. [read post]
19 Jul 2011, 1:23 am
Despite the decline, the financial services industry still remains the “leading sector” for attracting corporate and securities litigation activity. [read post]
16 Jul 2011, 8:00 pm
For a more extensive discussion of the CFPB’s regulatory powers, click here. [read post]
16 Jul 2011, 11:13 am
The hotbeds of the industry are three states with a light regulatory touch-Delaware, Wyoming and Nevada. [read post]
15 Jul 2011, 7:35 am
FINRA is the Financial Industry Regulatory Authority; it regulates securities firms in the United States. [read post]
14 Jul 2011, 9:09 pm
Everyone is a Risk Manager There is no sector of the investment management industry that is immune from risk management. [read post]
14 Jul 2011, 8:43 pm
A Financial Industry Regulatory Authority arbitration panel issued the order which found the respondent liable. [read post]
