Search for: "Financial Industry Regulatory Authority"
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16 May 2011, 9:47 am
Neither Gilliams nor his firm are registered with the Financial Industry Regulatory Authority or the National Futures Association. [read post]
13 May 2011, 4:03 pm
Chris is also the publisher of the widely-read Green Building Law Update, a blog dedicated to emerging legal and regulatory issues in the green building industry. [read post]
13 May 2011, 8:00 am
SEC announced that national securities exchanges and the Financial Industry Regulatory Authority (FINRA) had filed a proposal to replace the circuit breakers for individual stocks, currently in place as part of a pilot project, with a "limit up-limit down" mechanism. [read post]
12 May 2011, 9:14 am
An arbitration panel of the Financial Industry Regulatory Authority (FINRA) recently awarded $2.5 million in compensatory damages to an investor for his claim against Merrill Lynch. [read post]
12 May 2011, 6:56 am
HR 910, which would completely strip EPA of greenhouse gas regulatory authority, has passed the House of Representatives and has been referred to Committee in the Senate. [read post]
12 May 2011, 5:12 am
The proposed rule also identifies several “structural or behavioral barriers” that could be used to lessen the risk that the potentially conflicting financial interest of an affiliate will influence the contractor’s exercise of judgment during contract performance. [read post]
12 May 2011, 5:12 am
The proposed rule also identifies several “structural or behavioral barriers” that could be used to lessen the risk that the potentially conflicting financial interest of an affiliate will influence the contractor’s exercise of judgment during contract performance. [read post]
12 May 2011, 4:56 am
The SEC’s review comes on the heels of a proposal by the Financial Industry Regulatory Authority (FINRA) for a 15% cap on commissions and fees for private placements, as well as more disclosures about offering proceeds. [read post]
11 May 2011, 3:00 am
This approach not only positions you as the authority on the topic to your clients, but presents you as the "good guy" who is looking out for their interests. [read post]
11 May 2011, 2:15 am
Excluded Covered Entities Industries such as banks and other financial institutions outside of the FTC’s jurisdiction. [read post]
11 May 2011, 12:02 am
” The provision of appropriate resources will undoubtedly be a major issue, in a time where serious financial constraints are in place across the public sector and local authorities still struggle to recruit sufficient social workers. [read post]
10 May 2011, 9:25 am
The authors regularly represent clients with regard to bank enforcement matters, including entities and issues that may be discussed in this article. [read post]
9 May 2011, 12:55 pm
ACAMS 2011 Conference Highlights Plenary Sessions Leading international AML/CTF authorities have agreed to share critical intelligence and proven best practices to combat financial crime. [read post]
8 May 2011, 2:25 am
Some of it, deservedly so — and that’s from someone who’s co-authored a book on the subject. [read post]
7 May 2011, 5:35 am
Computer programmers are the authors of their own universe. [read post]
6 May 2011, 7:44 am
The Financial Industry Regulatory Authority (andquot;FINRAandquot;) fined Wells Fargo Advisors, LLC of St. [read post]
5 May 2011, 6:03 pm
For those that have relationships with high frequency trading ("HFT") teams, note that the Financial Industry Regulatory Authority ("FINRA") has publicly declared its intention to scrutinize firms that effect "orders by use of HFT models or trading algorithms" by making sure that "such trading complies with applicable FINRA rules and federal securities laws and regulations, including anti-manipulation provisions. [read post]
4 May 2011, 7:15 pm
For claims filed on or after May 16, 2011, the Financial Industry Regulatory Authority, Inc., (“FINRA”) has revised its Discovery Guide to provide additional guidance to parties and arbitration panels and FINRA reorganizes the Document Production Lists. [read post]
4 May 2011, 5:11 am
Finally, concerned about the transfer of authority date established in the Dodd-Frank Act, the ABA supports legislation, H.R. 1667, the Bureau of Consumer Financial Protection Transfer Clarification Act, introduced by Financial Institutions Subcommittee Chairman Shelley Moore Capito (R-WV), which would delay the transfer of authority to the Bureau until a leadership structure has been put in place. [read post]
2 May 2011, 11:23 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in January, February, March and April 2011: Michael Timothy Rodman, with USA Advanced Planners, Inc. in Rancho Santa Fe, California, was suspended from association with any FINRA member for 10 business days in connection with the execution of variable life settlement transactions… [read post]
