Search for: "Financial Industry Regulatory Authority"
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25 Feb 2011, 10:30 am
The potential for financial losses resulting from an unpredictable and untried regulatory process—even if these losses are a result of a completely independent foreign regulatory system— may appear that much more real to investors who are considering investing in U.S. offshore projects.On the plus side, the Ontario market collapse may also increase investment in the U.S. offshore wind industry and result in more opportunities for job creation on our… [read post]
23 Feb 2011, 4:02 pm
” The article reports views from a conference in the United States where the attendees noted there was a whole new industry of reputation-restoration firms like the UK-based Kwikch [read post]
22 Feb 2011, 4:52 pm
Brokerage firms are required to notify the Financial Industry Regulatory Authority of all infractions, but sometimes they are slow to do so. [read post]
22 Feb 2011, 9:01 am
For the third time in 15 months, the non-governmental securities industry regulator is searching for an Associate Director in its Office of the Ombudsman. [read post]
21 Feb 2011, 5:02 pm
Judge Furgeson has placed a temporary restraining order on three Financial Industry Regulatory Authority (FINRA) claims against Securities America. [read post]
21 Feb 2011, 2:35 pm
It’s worth mentioning that because of the regulatory focus on liquidity, financial institutions around the world can expect to be subject to similar scrutiny, whether or not they are supposed to be Basel III compliant. [read post]
21 Feb 2011, 2:08 pm
” Given the financial state of Innospec, Inc. and its subsidiaries, and Innospec’s full admission and cooperation, the US and UK authorities agreed to a global settlement of approximately $40 million. [read post]
19 Feb 2011, 9:39 am
The Financial Industry Regulatory Authority (FINRA) is currently investigating Sean Premock's improper sales of various alleged fraudulent private placements. [read post]
18 Feb 2011, 12:11 pm
Shorris is looking to move to the private sector after years of directing investigations at the Financial Industry Regulatory Authority and its predecessor, the N.A.S.D. [read post]
18 Feb 2011, 5:18 am
., with the broker/dealer facing disciplinary action by the Financial Industry Regulatory Authority (FINRA) over sales of private placements gone bad. [read post]
17 Feb 2011, 5:40 pm
Securities and commodities industry representatives told the House Financial Services Committee that CFTC and SEC rulemaking implementing the derivatives provisions (Title VII) of Dodd-Frank go beyond what the legislation requires and are not harmonized with international derivatives regulatory efforts. [read post]
U.S. Representatives and Insurers Request Delay of Decisions Affecting Insurers Under Dodd-Frank Act
17 Feb 2011, 9:46 am
Barney Frank, wrote, “It would be a mistake to have important decisions involving the insurance industry made in the absence of those positions being filled. [read post]
17 Feb 2011, 8:48 am
To what extent is this a function of a fragmented regulatory framework suffering from bureaucratic inertia (and an industry suffering from regulatory fatigue)? [read post]
16 Feb 2011, 10:08 am
FINRA is offering an unpaid summer externship in its Washington, DC office. [read post]
15 Feb 2011, 10:12 am
Workman Securities, a big seller of private placements in Medical Capital Holdings and Provident Royalties, has reached an agreement with the Financial Industry Regulatory Authority (FINRA) to settle issues over the deals. [read post]
15 Feb 2011, 8:32 am
That alternative would be similar to the regulatory oversight model currently used for SEC registered brokers and dealers under which the Financial Industry Regulatory Authority (FINRA) under the SEC’s supervision regulates brokers and dealers. [read post]
14 Feb 2011, 2:53 pm
The need for the Financial Industry Regulatory Authority ("FINRA"), which oversees securities arbitrations, to revise its arbitrator disclosure procedures is under a spotlight because of a FINRA arbitration case brought by actor Larry Hagman, star of the 1980s program "Dallas," against Citigroup.On October 6, 2010, Hagman won an $11 million arbitration case against Citigroup Global Markets for the actions of a Smith Barney broker. [read post]
14 Feb 2011, 12:43 am
The text also contains a description of the claims environment in each country, including the relevant considerations regarding criminal and regulatory liability. [read post]
13 Feb 2011, 12:27 pm
Hale also recognized the case for regulation in such industries. [read post]
11 Feb 2011, 7:51 am
He says the government is stepping up its enforcement and beginning to flex its considerable regulatory authority more robustly. [read post]
