Search for: "Financial Industry Regulatory Authority"
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24 Jun 2011, 3:26 pm
French Competition Authority (2010): search advertising is distinct relevant market. [read post]
24 Jun 2011, 8:15 am
Between May 2010 and May 2011, a total of 336 broker/dealers notified the Financial Industry Regulatory Authority (FINRA) that they were closing their doors for business. [read post]
23 Jun 2011, 8:40 am
The MoU formalizes the procedure for consultation, cooperation and coordination between the NYSID and FINMA, and allows each regulatory authority to obtain and share information about regulated persons and entities.According to Superintendent Wrynn, “The Insurance Department is proud to execute this agreement with FINMA because it will allow both regulators to closely cooperate to promote the growth of robust, solvent financial services and markets and… [read post]
22 Jun 2011, 2:56 pm
The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and several state securities agencies brought charges against Morgan Keegan relating to its management of five fixed-income mutual funds that were loaded with subprime mortgages. [read post]
22 Jun 2011, 2:50 pm
He accused FINRA (the Financial Industry Regulatory Authority whose purpose is to protect investors under the auspices of the SEC), to the Nazis of World War II. [read post]
22 Jun 2011, 12:48 pm
(NYSE:RF) announced today that its brokerage and investment banking subsidiary, Morgan Keegan & Company, Inc., and its asset management subsidiary, Morgan Asset Management, have agreed to a settlement of previously disclosed regulatory matters with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and a group of state securities regulators with respect to issues concerning certain mutual funds and… [read post]
22 Jun 2011, 12:48 pm
(NYSE:RF) announced today that its brokerage and investment banking subsidiary, Morgan Keegan & Company, Inc., and its asset management subsidiary, Morgan Asset Management, have agreed to a settlement of previously disclosed regulatory matters with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and a group of state securities regulators with respect to issues concerning certain mutual funds and… [read post]
22 Jun 2011, 12:22 pm
Morgan Keegan Ordered to Pay $200 Million to Investors to Settle Allegations Regarding Sales of Bond Funds Sales Materials Made Exaggerated Claims and Failed to Disclose Risks; Supervisory System Failures WASHINGTON — The Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC) and five state regulators from Alabama, Kentucky, Mississippi, South Carolina and Tennessee announced today that each has settled enforcement… [read post]
22 Jun 2011, 11:53 am
Securities and Exchange Commission, state regulators, and the Financial Industry Regulatory Authority. [read post]
22 Jun 2011, 9:15 am
Baram includes economist, and my co-author, David S. [read post]
22 Jun 2011, 8:56 am
Among the many reasons that factored into my decision is Nixon Peabody’s unparalleled expertise with the legal issues that impact ocean-based renewable energy projects and the firm’s commitment to and enthusiasm for working with developers and other interested entities who want to see the United States’ offshore renewable energy industry flourish.Nixon Peabody has one of the broadest energy practices in the country and has served the needs of energy industry… [read post]
22 Jun 2011, 7:09 am
He says the government is stepping up its enforcement and beginning to flex its considerable regulatory authority more robustly. [read post]
21 Jun 2011, 2:58 pm
Last month, the Financial Industry Regulatory Authority (FINRA) accused the company of overcharging customers regarding sales of municipal bonds and mortgage securities. [read post]
21 Jun 2011, 5:00 am
Lee, Theoretical Basis and Regulatory Framework for Microtrade: Combining Volunteerism with International Trade Towards Poverty Elimination, 2 L. [read post]
20 Jun 2011, 11:31 am
Taking the case on to the Supreme Court, the four electric-generating companies contended that the Second Circuit’s clearance of “public nuisance” lawsuits could lead to “staggering” impositions of financial cost on private industry, making the huge dollar settlement of claims against the tobacco companies over the health hazards of smoking “look like peanuts. [read post]
19 Jun 2011, 11:37 pm
Block & Landsman joined other firms in filing a class action lawsuit against the Financial Industry Regulatory Authority (FINRA) seeking injunctive relief to stop the regulatory authority from violating the constitutional due process rights of registered representatives. [read post]
18 Jun 2011, 1:40 pm
Title VII of the Dodd-Frank Act establishes a regulatory regime for the OTC derivatives markets by providing the SEC and the CFTC with the tools to oversee these markets. [read post]
17 Jun 2011, 7:18 am
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
17 Jun 2011, 7:11 am
” The Master Plan, however, has encouraged the BPU to “step up its regulatory review of solar PV to ensure that State-sponsored programs represent worthwhile initiatives that achieve a sensible balance among competing ….objectives,” but the Plan clearly does support behind-the-meter commercial/industrial solar installations rather than residential and certain grid-connected systems.To recap, New Jersey is at the forefront, along with California, among all… [read post]
16 Jun 2011, 6:47 pm
The products and Lerner have been in the hot seat for more than a month, after the Financial Industry Regulatory Authority (FINRA) filed a complaint stating that shares in Apple REITS had not been re-priced in years. [read post]
