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13 Jan 2011, 4:23 am
Now, here comes news from CQ Today Online News, an excerpt of which is below: A senior Republican House member unveiled legislation Jan. 10 designed to slow down the pace of federal rulemaking, adding to the growing GOP and industry calls for Congress to reassert authority over executive branch agencies. [read post]
11 Jan 2011, 8:44 pm
In a related matter, the Financial Industry Regulatory Authority (FINRA) entered into an agreement with Schwab for the payment of $18 million to investors that will also be included in the Fair Fund. [read post]
11 Jan 2011, 3:18 pm
APS Financial Corporation (“APS”) recently entered in to a Letter of Acceptance, Waiver and Consent (“AWC”) with the Financial Industry Regulatory Authority (“FINRA”). [read post]
David Skeel’s Excellent Book, and Comparing Discretion in the Financial Crisis and National Security
7 Jan 2011, 8:29 pm
As Skeel notes, the exercise of radical discretion by Paulson, Geithner, and Bernanke in the financial crisis raises questions of executive power and authority. [read post]
6 Jan 2011, 6:43 pm
The award, which was announced in December by a three-person arbitration panel of the Financial Industry Regulatory Authority (FINRA), is the seventh consecutive win for investors with pending complaints against UBS over the Lehman Brothers notes. [read post]
6 Jan 2011, 6:57 am
The Financial Industry Regulatory Authority, as part of its enforcement focus on misconduct in the sale of private placements, Dec. 17 said it plans to propose rule amendments to extend its… Read this entire article for free, simply activate your free 15 day trial access to Alternative Investment Law Report now. [read post]
5 Jan 2011, 1:24 pm
BFPP gave full cooperation, assistance, and access to persons authorized to conduct a response action or natural resource restoration. [read post]
5 Jan 2011, 1:24 pm
BFPP gave full cooperation, assistance, and access to persons authorized to conduct a response action or natural resource restoration. [read post]
5 Jan 2011, 12:22 pm
As anyone who has ever thrown away a required disclosure from a service provider (mortgage, bank, drug, electronic device, financial statement, privacy, etc.) knows full well, information “sufficient” to make an informed choice is far more information than any non-expert consumer could possibly absorb and evaluate, even if they wanted to. [read post]
5 Jan 2011, 12:18 pm
On December 29, 2010, the Financial Industry Regulatory Authority (FINRA) announced that it expelled APS Financial Corporation (APS), barred the firm's former President, George Conwill, and the firm's former broker, Peter Aman, for engaging in a scheme which overcharged an elderly investor by $1.2 million. [read post]
5 Jan 2011, 11:26 am
The Financial Industry Regulatory Authority (FINRA), the primary SRO for registered broker-dealers, has made it known that an SRO should be created for the purpose of regulating investment advisers and that FINRA should be that SRO. [read post]
5 Jan 2011, 1:17 am
Widely circulated news reports have quoted FDIC officials as saying that the FDIC has authorized civil actions against more than 80 directors and officers of failed banks. [read post]
4 Jan 2011, 3:35 pm
The current lack of a convincing and comprehensive public answer or plan by state regulators in response to the skeptics left the door open for the brokerage industry's self-regulatory organization to insert its foot. [read post]
3 Jan 2011, 5:39 pm
I'd only add that we'd be even better off if the US adopted more pro-growth tax and regulatory policies. [read post]
3 Jan 2011, 11:24 am
Through November 2010, the number of broker/dealers registered with the Financial Industry Regulatory Authority (FINRA) was 101 below the total at the end of 2009. [read post]
3 Jan 2011, 11:16 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded $2,200,000.00 [read post]
3 Jan 2011, 5:00 am
The New York State Insurance Department recently released its proposed regulatory agenda for the first half of 2011. [read post]
31 Dec 2010, 8:41 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in October, November and December 2010: Michael Scott Silva, with Charles Schwab & Co., Inc. in Santa Rosa, CA, was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days in connection with the recommendation to a customer to… [read post]
31 Dec 2010, 8:21 am
As I noted in another context, monitoring also appears to be key to any good regulation of rapidly changing, tech-driven industries. [read post]
30 Dec 2010, 6:56 am
A key question, as yet unanswered, is whether the sale and/or purchase of structured settlement annuities constitutes a "financial product or service" under Dodd-Frank requiring regulatory supervision by the Bureau. [read post]
