Search for: "Financial Industry Regulatory Authority"
Results 9901 - 9920
of 11,239
Sort by Relevance
|
Sort by Date
10 Feb 2011, 3:05 pm
So, industry participants should clearly be investing time and focus in the coming months to ensuring that their policies, procedures and the terms of their agreements meet existing federal and State statutory and regulatory requirements. [read post]
10 Feb 2011, 9:22 am
FINRA (the Financial Industry Regulatory Authority) recently discussed its investor protection priorities at a conference held for independent financial services firms. [read post]
10 Feb 2011, 6:50 am
FINRA: Citi To Pay Investors $6.4M By Lorie Konish February 9, 2011 A Financial Industry Regulatory Authority panel has ordered two parts of Citigroup Inc. to pay $6.4 million to make up for investment losses tied to a group of troubled municipal arbitrage trust funds. [read post]
8 Feb 2011, 1:11 pm
– Ed.], it appears that the industry may soon enter the beginning of the end of the 2010 Andhra Pradesh crisis. [read post]
7 Feb 2011, 12:52 pm
As reported Feb. 6 by Investment News, the SEC’s ruling comes on the heels of a pilot program by the Financial Industry Regulatory Authority (FINRA) that allowed certain investors the choice of substituting an industry arbitrator with a public panelist. [read post]
7 Feb 2011, 12:42 pm
Last month, a Financial Industry Regulatory Authority (FINRA) arbitration panel ruled in favor of an elderly couple who had a filed a claim against QA3 for real estate deals that had soured. [read post]
7 Feb 2011, 5:05 am
Of course, the two states share more than a regulatory philosophy and sophisticated financial laws. [read post]
6 Feb 2011, 4:31 pm
If you are an elderly investor looking for a conservative way to invest in the stock market, you should be aware of an Investor Alert recently issued by the Financial Industry Regulatory Authority ("FINRA") regarding the dangers of equity indexed annuities ("EIAs"). [read post]
4 Feb 2011, 1:15 pm
The Financial Industry Regulatory Authority (FINRA) is examining sales of opaque and illiquid private investments with a critical eye, according to Bruce Kelly [read post]
4 Feb 2011, 12:11 pm
Private-placements deals in Medical Capital Holdings and Provident Royalties have become a bone of contention for the Financial Industry Regulatory Authority (FINRA), which plans to focus new attention on the broker/dealers responsible for selling the opaque and illiquid private investments to investors. [read post]
4 Feb 2011, 6:07 am
The Securities and Exchange Commission approved a Financial Industry Regulatory Authority, Inc. proposal giving investors the option to have an all-public arbitration panel. [read post]
3 Feb 2011, 6:53 pm
[The role of lobbying in the legislative and regulatory process in India has been the subject matter of great debate lately. [read post]
3 Feb 2011, 1:47 pm
While generally supporting the increased transparency embodied in the European Commission’s proposed reform of the Markets in Financial Instruments Directive (MiFID), the US hedge fund industry is concerned that proprietary or confidential information of individual investors may be disclosed to the public. [read post]
3 Feb 2011, 9:26 am
Financial statements not publicly available filed with applications for industrial development financings in accordance with Chapter 49 (§ 15.2-4900 et seq.) of Title 15.2. 3. [read post]
2 Feb 2011, 9:30 am
Yesterday, the Securities and Exchange Commission (SEC) approved a Financial Industry Regulatory Authority (FINRA) plan to provide investor-claimants with an all-public arbitration panel option. [read post]
1 Feb 2011, 10:06 pm
In a long-sought victory for investors, the Securities and Exchange Commission ("SEC") has approved a proposal by the Financial Industry Regulatory Authority ("FINRA") that arbitration panels, which decide investor claims of broker misconduct, no longer are required to include an arbitrator who is a member of the financial industry. [read post]
1 Feb 2011, 3:30 pm
The Financial Industry Regulatory Authority (FINRA) recently released its arbitration statistics for the month/year ended December 2010. [read post]
1 Feb 2011, 7:02 am
I’ve written previously about the Financial Regulatory Authority (FINRA) proposals for allowing consumer complainants in arbitrations to use all public arbitration panels. [read post]
31 Jan 2011, 11:58 pm
What is the role of public authorities (e.g. [read post]
29 Jan 2011, 9:19 am
We also provide a comprehensive review of the hugely anticipated new remuneration code [1] the final version of which was published by the Financial Services Authority last Friday. [read post]
