Search for: "Financial Industry Regulatory Authority"
Results 9741 - 9760
of 11,239
Sort by Relevance
|
Sort by Date
1 Jun 2011, 5:48 am
Comparing WTO Panelists and ICSID Arbitrators: The Creation of International Legal Fields Jose Augusto Fontoura Costa Abstract: Who are people who make the decisions in trade and investment dispute settlement systems? [read post]
31 May 2011, 6:26 am
The Financial Industry Regulatory Authority has hit Credit Suisse Securities LLC with a $4.5 million fine and Merrill Lynch with a $3 million fine for not properly representing data and supervising the residential subprime mortgage securitizations they sold.The fines, which were announced by independent regulator FINRA on Thursday, were for improper handling that took place at the firms in 2006 [read post]
30 May 2011, 1:30 pm
That team was known throughout its eight years as working largely hand-in-glove with the financial services industry and its supporters in Congress (whether through regulatory capture or governmental leadership, I'll leave open to question). [read post]
30 May 2011, 10:36 am
The hedge fund industry asked the Financial Stability Board to consider the improvements made by hedge fund counterparties to their risk management practices, as well the new regulations adopted since the advent of the financial crisis, as the Board explores regulatory measures for monitoring the shadow banking system and addressing systemic risks posed by shadow banking. [read post]
29 May 2011, 11:43 am
In a letter to the European Securities and Markets Authority (ESMA), the Managed Funds Association said that a coordinated approach would be particularly important to global fund managers required to expend significant resources responding to requests for data, as well as to regulators seeking to assess the state of the financial system in a globally integrated marketplace. [read post]
27 May 2011, 8:45 am
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million. [read post]
26 May 2011, 11:41 pm
A district court has denied the bids of Timothy McGinn and David Smith that the Financial Industry Regulatory Authority disciplinary proceedings against them be stayed until after the conclusion of the Securities and Exchange Commission's related civil action. [read post]
26 May 2011, 12:18 pm
Just this week, the head of the Financial Industry Regulatory Authority (FINRA) publicly called upon broker/dealers that sell private placements to engage in a more vigorous due diligence process, “pushing and pulling” for information about the products. [read post]
26 May 2011, 8:00 am
See also Exchange Act Release No. 62032 (May 4, 2010) (“The Financial Industry Regulatory Authority ("FINRA") performs some of the regulatory functions contracted out to NYSER pursuant to a separate multi-party regulatory services agreement with FINRA. [read post]
26 May 2011, 5:50 am
In the presence of specific market failures, measures designed to ameliorate market functioning (e.g. adaptation of the regulatory framework or planning reforms) should be prioritized. [read post]
25 May 2011, 8:34 am
The entire story and Singer’s commentary are worth reading, but in essence it is the story of Financial Industry Regulatory Authority (“FINRA”) Arbitration 10-02435 (May 9, 2011), or the shortsightedness of one Newman Trowbridge, Jr, Esq.. [read post]
25 May 2011, 8:05 am
., told the Financial Industry Regulatory Authority (FINRA) in March of its plans to terminate its broker/dealer license. [read post]
25 May 2011, 5:00 am
The entire story and Singer’s commentary are worth reading, but in essence it is the story of Financial Industry Regulatory Authority (“FINRA”) Arbitration 10-02435 (May 9, 2011), or the shortsightedness of one Newman Trowbridge, Jr., Esq. [read post]
24 May 2011, 9:23 am
Senator Grassley said that he continued this oversight by recently writing to the Financial Industry Regulatory Authority (FINRA) seeking referrals from FINRA from January 1, 2000, to the present regarding the hedge fund, a firm that has been the subject of significant media coverage regarding allegations of insider trading. [read post]
23 May 2011, 5:56 am
Charles Grassley, the top Republican on the Senate Judiciary Committee, is investigating roughly 20 instances over the past decade when the Financial Industry Regulatory Authority, a Wall Street regulator, suspected SAC could have bought and sold stocks based on inside information. [read post]
19 May 2011, 5:58 am
The proposal does not specifically mention types of infrastructure to be covered, such as energy or electric facilities, nor does it specifically authorize a role for the Federal Energy Regulatory Commission (“FERC”) or the Department of Energy. [read post]
18 May 2011, 12:39 pm
The Financial Industry Regulatory Authority (andlsquo;FINRAandrsquo;) launched today its new Disciplinary Actions Online database, which provides access to Finra complaints against firms and individual brokers, settlement agreements (known as Letters of Acceptance Waivers and Consent, or AWCs), decisions by Finra hearing panels and National Adjudicatory Council decisions. [read post]
18 May 2011, 12:37 pm
andnbsp; The Financial Industry Regulatory Authority (andlsquo;FINRAandrsquo;) launched today its new Disciplinary Actions Online database, which provides access to Finra complaints against firms and individual brokers, settlement agreements (known as Letters of Acceptance Waivers and Consent, or AWCs), decisions by Finra hearing panels and National Adjudicatory Council decisions. [read post]
18 May 2011, 4:28 am
In the wake of soured private placement deals in Medical Capital Holdings and Provident Royalties - as well as other investments gone bad at the hands of rogue brokers - the Financial Industry Regulatory Authority (FINRA) is putting more information about its disciplinary actions online for investors and others to view. [read post]
17 May 2011, 4:03 am
News release: "The Financial Industry Regulatory Authority (FINRA) today announced the launch of the FINRA Disciplinary Actions Online database, a... [read post]
