Search for: "Financial Industry Regulatory Authority"
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11 Sep 2020, 4:37 am
He has been a broker registered with the Financial Industry Regulatory Authority (FINRA) member firms since end of 1998, when he passed his Series 6 Exam. [read post]
17 Feb 2009, 1:48 pm
Also investigating are the Financial Industry Regulatory Authority and the Florida Office of Financial Regulation. [read post]
15 Oct 2011, 6:02 am
Significantly, the ruling appears to extend to all “self-regulatory organizations” ("SROs"). [read post]
15 Oct 2011, 6:02 am
Significantly, the ruling appears to extend to all “self-regulatory organizations” ("SROs"). [read post]
11 Sep 2020, 4:37 am
He has been a broker registered with the Financial Industry Regulatory Authority (FINRA) member firms since end of 1998, when he passed his Series 6 Exam. [read post]
5 Feb 2009, 4:22 am
A whistleblower who repeatedly warned the Securities and Exchange Commission that Bernard Madoff was perpetrating a massive investment fraud testified yesterday that the regulatory agency that oversees financial markets is inept, "financially illiterate" and far too cozy with the financial titans it is supposed to be regulating. [read post]
23 Aug 2022, 10:22 am
In July 2022, the New York State Department of Financial Services issued an Industry Letter providing guidance on overdraft and NSF fees to depository institutions that it supervises. [read post]
8 Oct 2020, 5:11 am
The Financial Industry Regulatory Authority (“FINRA”) would later condemn Archer’s use of the bonds in this way because the Wakpamni bonds had “no active market. [read post]
21 Jan 2009, 1:46 am
There is also FINRA, the Financial Industry Regulatory Authority and its predecessors. [read post]
21 Aug 2016, 4:29 pm
The extent of the constraints on the discretionary authority of decision making administrators becomes the linchpin of the statutory scheme. [read post]
4 Nov 2022, 11:56 am
Adam Isles discussed the increasingly disruptive cyberattacks on financial institutions and argued the importance of encouraging high-performing cybersecurity programs in the banking sector by complementing required “sticks” with voluntary “carrots” in regulatory incentivization. [read post]
27 Mar 2013, 9:14 am
Cape Wind's PPAs account for 77.5% of its projected output.Cape Wind Associates has designated Barclays to provide financial advisory services to Cape Wind. [read post]
15 Nov 2018, 11:08 am
First, a brief summary of the facts, though you can see more in my earlier posts on the case, here and here: Plaintiff, a law professor, sat on the appellate panel of the Financial Industry Regulatory Authority, Inc. [read post]
15 Nov 2018, 11:08 am
First, a brief summary of the facts, though you can see more in my earlier posts on the case, here and here: Plaintiff, a law professor, sat on the appellate panel of the Financial Industry Regulatory Authority, Inc. [read post]
8 Apr 2015, 9:00 am
A great example, from an earlier paper by other authors that this one mentions, is evidence that, in Russia, companies whose executives paid bribes to avoid traffic tickets suffered from greater looting by insiders than randomly selected Russian companies.4) Presumably, an across-the-board cultural trait of lesser aggressiveness, and hence greater trustworthiness where CEO or company behavior cannot be perfectly observed, might have greater value in some types of industries… [read post]
7 Feb 2024, 9:01 pm
Regulatory Amendments. [read post]
18 Sep 2024, 9:00 am
Location is also key—choose an area that aligns with your business strategy, whether that’s a high-traffic commercial zone, a trendy neighborhood, or a more affordable industrial area. [read post]
31 Mar 2023, 5:16 am
The MICITT and the CSIRT-CR took the lead in convening this team, based on the authorities outlined in Decree 37052. [read post]
23 Apr 2020, 9:02 pm
John Smirnow, general counsel for Solar Energy Industries Association, responded that the withdrawal would “needlessly increase the financial burden on America’s energy consumers. [read post]
18 Mar 2023, 8:08 am
The dream of every author is to have smart readers who comment on and react to her writing. [read post]
