Search for: "Financial Industry Regulatory Authority"
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14 Jul 2011, 2:13 pm
In addition, the Appliance Labeling Rule, 16 CFR Part 305, will be reviewed in 2012 instead of 2018.The Commission also removed nine matters from its regulatory review schedule because authority to modify or repeal them will be transferred to the Consumer Financial Protection Bureau in 2011. [read post]
14 Jul 2011, 2:03 pm
Once again, breach of fiduciary duty ranks as the most frequently alleged customer claim according to our mid-year review of securities arbitration cased filed with the Financial Industry Regulatory Authority ("FINRA"). [read post]
11 Jul 2011, 6:54 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel in New York has awarded $880,000 to elderly clients of Phil Scott of Bank of America Merrill Lynch's Bellevue, Washington, office, who were unsuitably 100% invested in stocks, according to Dan Jamieson’s InvestmentNews article entitled “Merrill hit for $880K arbitration award. [read post]
10 Jul 2011, 11:10 pm
Other organisations holding other people’s money are regulated Banks and financial institutions are regulated by the Financial Services Authority (FSA), the Treasury and the Bank of England. [read post]
7 Jul 2011, 4:36 am
For the record, officials at the Commodity Futures Trading Commission, Securities and Exchange Commission and the Financial Industry Regulatory Authority would neither confirm nor deny any such probes. [read post]
4 Jul 2011, 10:12 am
Investors who have suffered losses investing in non-traded REITs like Desert Capital may be able to recover their losses through the securities arbitration process administered by the Financial Industry Regulatory Authority ("FINRA"). [read post]
4 Jul 2011, 9:49 am
The Financial Industry Regulatory Authority (FINRA) is lobbying Congress to become the regulator of 12,000 investment advisors and their firms, but critics say that should not happen. [read post]
3 Jul 2011, 6:16 am
I shudder to imagine the utter silliness of financial regulation under such conditions. [read post]
2 Jul 2011, 3:30 am
“Complaint” is any written communication by an insured or named beneficiary expressing dissatisfaction with an insurance entity over which the Office has regulatory authority. [read post]
1 Jul 2011, 7:54 am
Ketchum, chairman of the Financial Industry Regulatory Authority, earned $2.6 million in 2010, including a $1.2 million bonus, according to a new filing. [read post]
1 Jul 2011, 7:01 am
If judges and lawmakers do not understand the reasoning of Islamic finance professionals in incorporating Shariah law, the result could be precedents and codes that hamper the growth of a multi-trillion dollar industry. [read post]
1 Jul 2011, 7:01 am
If judges and lawmakers do not understand the reasoning of Islamic finance professionals in incorporating Shariah law, the result could be precedents and codes that hamper the growth of a multi-trillion dollar industry. [read post]
30 Jun 2011, 11:42 am
The SEC is amending Part 1 of Form ADV to require advisers to provide additional information: 1) about private funds they advise, 2) about their advisory business and business practices that may present conflicts of interest, and 3) about their non-advisory activities and financial industry affiliations. [read post]
30 Jun 2011, 7:08 am
The failures are the product of a destructive convergence of funding shortfalls, political attacks, and outmoded legal authority, setting the stage for ineffective enforcement and unsupervised industry self-regulation. [read post]
Legal Information / Communication Issues in the FCC Media Report, “Information Needs of Communities”
30 Jun 2011, 1:05 am
State public affairs networks (SPANs) — the state-level equivalents of C-SPAN, which provide extended coverage of state legislative, judicial, and administrative proceedings — are available only in “23 states and the District of Columbia,” and these networks receive financial support from the cable industry “in only 4 states. [read post]
29 Jun 2011, 5:38 pm
Once the regulatory implementation was handed over to the Fed, the banks were playing with a home court advantage. [read post]
29 Jun 2011, 9:27 am
“ Specifically, WSJ reports: The Financial Industry Regulatory Authority said the Syosset, N.Y., firm targeted elderly and unsophisticated customers as it marketed a $2 billion real-estate fund. [read post]
28 Jun 2011, 11:52 am
The financial information would be audited. [read post]
26 Jun 2011, 11:40 pm
Some of the evidence that has emerged about Morgan Keegan's treatment of certain investors may not be allowed into arbitration proceedings that were initiated earlier, Gretchen Morgenson writes in The New York Times, despite the brokerage firm's recent $200 million settlement with the Financial Industry Regulatory Authority. [read post]
25 Jun 2011, 6:39 am
The act provides broad regulatory changes to the financial services industry. [read post]
