Search for: "Financial Industry Regulatory Authority"
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9 Mar 2011, 8:28 am
No… they’re not, although I cannot wait to read your take on this whole regulatory and investigative charade. [read post]
9 Mar 2011, 8:15 am
In February 2010, the Financial Industry Regulatory Authority (FINRA) fined H&R Block Financial Advisors, Inc. [read post]
8 Mar 2011, 1:59 pm
Indeed, regulatory requirements restrict the availability of these vehicles to institutional and other “qualified purchasers”, “accredited investors”, or those with appropriate financial sophistication and/or financial capacity. [read post]
8 Mar 2011, 9:23 am
Rodman & Renshaw has signed a letter of intent to buy the OTCBB from its current owner, the Financial Industry Regulatory Authority (FINRA). [read post]
7 Mar 2011, 6:56 pm
On a separate matter of industry concern, the Commissioner said that, as it considers proposals for defining and registering swap dealers, the CFTC is cognizant of the importance of establishing an appropriate regulatory framework for the cross-border swaps activities of foreign banks. [read post]
7 Mar 2011, 4:49 pm
Speier previously spearheaded the California Financial Privacy Act and has a separate Financial Privacy Act also pending. [read post]
7 Mar 2011, 8:27 am
The Northern District of Texas has issued a Temporary Restraining Order enjoining multiple arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). [read post]
7 Mar 2011, 5:24 am
Groetsch has since filed an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
6 Mar 2011, 12:32 pm
The Prudential Regulatory Authority will oversee banks and other financial institutions. [read post]
4 Mar 2011, 1:59 am
The industry group suggested that going back on that decision would "put consumers at greater risk. [read post]
2 Mar 2011, 1:00 pm
TESTIMONY OF DR. [read post]
1 Mar 2011, 10:40 am
The clinic was established by Professor Robert Talbot as a way for law students to gain practical legal skills while, at the same time, helping small investors resolve stockbroker disputes through the securities arbitration program administered by the Financial Industry Regulatory Authority (FINRA). [read post]
1 Mar 2011, 8:40 am
SEC-registered investment companies, ERISA plans and funds regulated under the EU UCITS Directive should not be regulated as major swap participants and major security-based swap participants under SEC and CFTC rules implementing the Dodd-Frank derivatives provisions, in the view of the Securities Industry and Financial Markets Association. [read post]
1 Mar 2011, 6:00 am
Phillip Thorpe, the head of the Qatar Financial Centre Regulatory Authority, a corporate body owned and funded by the state of Qatar, reportedly said that with “no change, we can expect there will be another” financial crisis.Image by Flickr user World Economic Forum, and used under a Creative Commons license. [read post]
1 Mar 2011, 5:35 am
You may have a viable claim for recovery of your investment losses by filing an individual securities arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
28 Feb 2011, 3:01 pm
Sutherland Asbill & Brennan LLP announced that it completed its annual Sutherland FINRA Sanction Study – a review of the disciplinary actions brought by the Financial Industry Regulatory Authority (FINRA) against broker-dealers and associated persons. [read post]
What type of “insider trading” is prohibited by the CFTC within the commodities and futures markets?
28 Feb 2011, 11:36 am
The CFTC is a federal regulatory body that regulates the entire commodities futures industry. [read post]
28 Feb 2011, 9:26 am
They suggest 4 possible avenues: 1) industry self-regulation; 2) Community Reinvestment Act reform; 3) CDFI Fund regulatory mandate; 4) additional federal investment to support innovation in nonfinancial performance measurement? [read post]
28 Feb 2011, 6:00 am
The Administration plans to strengthen regulatory oversight of banks and other financial institutions through the consumer protection provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
26 Feb 2011, 12:00 pm
This case was brought in coordination with the President's Financial Fraud Enforcement Task Force, which includes representatives from a broad range of federal agencies, regulatory authorities, inspectors general, and state and local law enforcement who, working together, bring to bear a powerful array of criminal and civil enforcement resources. [read post]
