Search for: "Financial Industry Regulatory Authority"
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3 Apr 2011, 9:27 pm
The pushback from various segments of the financial services industry has been considerable, leading to an extension of the time allowed for official comments through April 12, 2011. [read post]
31 Mar 2011, 9:12 am
As a result, I think we may see less innovation in the financial services industry than we otherwise would. [read post]
31 Mar 2011, 6:31 am
The FIO has no regulatory authority over the business of insurance. [read post]
29 Mar 2011, 2:06 pm
Earlier this month, LPL Financial, LLC was fined $100,000 by the Financial Industry Regulatory Authority ("FINRA") for failing to maintain supervisory procedures to catch a representative who was transferring assets from a customer account to the broker's personal account with the firm. [read post]
29 Mar 2011, 9:50 am
The Financial Industry Regulatory Authority ( [read post]
28 Mar 2011, 6:05 pm
The Japanese regulatory scheme is seen as something that can always be improved – and also supplemented by spontaneous action. [read post]
28 Mar 2011, 1:20 pm
The Financial Industry Regulatory Authority (FINRA) administers arbitration proceedings to resolve disputes between its member brokerage firms and investors. [read post]
28 Mar 2011, 6:00 am
On February 18, 2011, The Northern District of Texas issued a Temporary Restraining Order (TRO) enjoining multiple arbitration proceedings before the Financial Industry Regulatory Authority (FINRA) in Billitteri v. [read post]
28 Mar 2011, 12:00 am
., the Price-Anderson Act governs the insurance and financial responsibility requirements imposed on nuclear operators: The Price-Anderson Act, which became law on September 2, 1957, was designed to ensure that adequate funds would be available to satisfy liability claims of members of the public for personal injury and property damage in the event of a nuclear accident involving a commercial nuclear power plant. [read post]
27 Mar 2011, 4:02 pm
The Financial Industry Regulatory Authority ("FINRA") determined that Schwab misrepresented the YieldPlus fund as a low risk alternative to money market funds despite the disproportionate impact the upheaval in the mortgage-backed securities market had on the YieldPlus portfolio. [read post]
26 Mar 2011, 11:25 am
The Financial Industry Regulatory Authority wants the District of Columbia Court of Appeals to reverse the D.C. [read post]
25 Mar 2011, 5:03 pm
With a number of members of the firm's Financial Services Regulatory Group contributing to this blog, readers are sure to get the latest news on the financial services industry, complete with analysis on regulations and litigation. [read post]
25 Mar 2011, 3:13 pm
An SRO may also lead to duplicative regulatory requirements, which in turn may lead to confusion over which body has regulatory responsibility. [read post]
25 Mar 2011, 9:06 am
In the joint letter, the Financial Services Roundtable and the American Bankers Association said that the costs to the banking and financial services industry of preventing and detecting data breaches, and notifying customers when their information is at risk of misuse, is already huge. [read post]
25 Mar 2011, 9:01 am
As for the regulatory responsibilities of the Joint Canada-Quebec Regulatory Office, it has been mandated to propose a specific collaboration agreement which is to emphasize transparency and efficiency for industry. [read post]
25 Mar 2011, 6:39 am
The Financial Industry Regulatory Authority (FINRA) has ordered Southwest Securities to pay $500,000 to resolve claims involving violations of Municipal Securities Rulemaking Board rules and using paid consultants to solicit business. [read post]
23 Mar 2011, 6:33 am
Yet another example is Obama’s (and before him, Bush’s) reliance on existing regulatory authorities to resolve the financial crisis. [read post]
21 Mar 2011, 5:00 am
With any public M&A deal where there is a spike in trading activity before the deal is announced, the Financial Industry Regulatory Authority pokes around the accounts that traded in those shares to see if anyone trading was an insider. [read post]
21 Mar 2011, 5:00 am
With any public M&A deal where there is a spike in trading activity before the deal is announced, the Financial Industry Regulatory Authority pokes around the accounts that traded in those shares to see if anyone trading was an insider. [read post]
19 Mar 2011, 8:12 am
Authority for the rules: The State Medical Marijuana Licensing Authority was granted authority to make rules by the Colorado Medical Marijuana Code which went into effect on July 1, 2010. [read post]
