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28 Jan 2011, 9:58 am
From the code page, click on the link to the right for “Parallel Authorities (CFR)” (I used the Regulatory Flexibility Act, mentioned above, as the example). [read post]
28 Jan 2011, 9:58 am
From the code page, click on the link to the right for “Parallel Authorities (CFR)” (I used the Regulatory Flexibility Act, mentioned above, as the example). [read post]
27 Jan 2011, 2:52 am
The Financial Industry Regulatory Authority ("FINRA"), which provides the arbitration mechanism for resolving securities disputes involving investment fraud, has published its 2010 arbitration statistics. [read post]
24 Jan 2011, 5:04 pm
For example, the Act could apply to the board members of a local industrial development authority or a private college... [read post]
24 Jan 2011, 9:21 am
More specifically, the study said that the standard should provide that the broker or adviser must act in the best interest of the customer without regard to the financial or other interest of the broker or investment adviser providing the advice.In a separate statement, Commissioners Kathleen Casey and Troy Paredes opposing sending the staff study to Congress as drafted because it does not fulfill the mandate of Section 913 to evaluate the effectiveness of existing legal or… [read post]
23 Jan 2011, 10:18 am
Until that date, rulemaking authority under federal consumer financial law remains with the federal regulatory agencies that currently have such rulemaking responsibilities. [read post]
22 Jan 2011, 12:04 pm
Financial strength analysis; 3. [read post]
22 Jan 2011, 1:10 am
Both the Financial Industry Regulatory Authority ("FINRA") and the Securities Exchange Commission ("SEC") issued alerts against the use of these "potentially dangerous" investment vehicles. [read post]
21 Jan 2011, 2:14 pm
These issues are complicated by the diversity of the investment adviser industry and strong industry opposition.The diversity of the investment advisory industry, ranging from small, locally-operated financial planning firms to global money managers suggests the potential for multiple SROs, each of which could oversee a different type of investment adviser. [read post]
20 Jan 2011, 10:19 am
” The SEC has recommended that Congress consider the following three approaches to strengthen the SEC’s investment adviser examination program: (i) authorize the SEC to charge SEC-registered investment advisers “user fees,” which would be used to fund the investment adviser examination program; (ii) authorize one or more SROs to examine, subject to SEC supervision, all SEC-registered investment advisers; or (iii) authorize the… [read post]
20 Jan 2011, 7:57 am
The ABA urged that the SEC registration threshold needs to be updated to between 1500 and 3000 shareholders, in turn freeing up community banks to seek new investors without also inviting major new SEC regulatory burdens.Regarding the interchange fee provision of Dodd-Frank, the ABA observed that this was not part of the Administration’s proposed financial regulatory reform package. [read post]
19 Jan 2011, 1:12 pm
There is a need for clear, efficient, and consistent regulatory requirements and authority for permitting all phases of CCS projects in California, including CO2 capture, transport, and storage. 7. [read post]
18 Jan 2011, 3:24 pm
The new Chair of the Oversight Subcommittee of the House Financial Services Committee also also seeks more transparency regarding Bureau staffs’ meetings with financial industry executives and interactions with the SEC and Fed. [read post]
18 Jan 2011, 9:35 am
Whistles at the Ready: The Dodd-Frank Wall Street Reform and Consumer Protection Act On July 21, 2010, President Obama signed into law the Dodd-Frank Act, described by many as the most comprehensive package of financial regulatory reforms since the Great Depression.[1] The Dodd-Frank Act greatly reinforced and expanded the powers of the SEC.[2] Among other things, the Act expanded the ability of the SEC to impose penalties in administrative cease and… [read post]
17 Jan 2011, 5:14 pm
Bradley Bennett joins the Financial Industry Regulatory Authority as chief enforcer at a time when the organization is trying to expand its reach. [read post]
17 Jan 2011, 4:53 pm
With the advent of 2011, a new EU regulatory framework for securities and banking has been born, including a European Systemic Risk Board similar to the Financial Stability Oversight Council created by the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
17 Jan 2011, 8:41 am
The claims, filed with the Financial Industry Regulatory Authority (FINRA) involve $90 million in investor losses connected to Medical Cap Holdings. [read post]
17 Jan 2011, 7:14 am
The new industry may have problems, but the current legal services industry is far from perfect. [read post]
13 Jan 2011, 11:45 pm
Winner said in a legal filing that it authorized Kelley or his employees to trade the shares on its behalf. [read post]
13 Jan 2011, 11:23 am
The Financial Industry Regulatory Authority, Inc. [read post]
