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30 Dec 2010, 6:00 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]
29 Dec 2010, 12:41 pm
These incentives include tax credits and funding from the New Jersey Economic Development Authority (NJEDA). 4. [read post]
28 Dec 2010, 10:41 am
In March 2010, the Financial Industry Regulatory Authority (FINRA) formally expelled Provident Asset Management LLC, the broker-dealer arm of Provident. [read post]
23 Dec 2010, 11:40 am
Soft law: solutions without statutory authority, a lot more in Europe than in US. [read post]
22 Dec 2010, 10:52 am
It claimed that because Merrill subsidiary Merrill Lynch Pierce Fenner & Smith Inc. is a Financial Industry Regulatory Authority member, the broker-dealer is required to arbitrate customer disputes. [read post]
22 Dec 2010, 9:22 am
andnbsp;Legal claims or lawsuits against stockbrokers for fraud, the sale of unsuitable investments, breach of fiduciary duty, and the failure to supervise, universally, and only in the rarest exception, are required to be litigated or arbitrated before FINRA, the Financial Industry Regulatory Authority, Office of Dispute Resolution, where until recently, at least one member of the arbitration panel sitting in judgment of a customerandrsquo;s claim, was required… [read post]
20 Dec 2010, 8:29 am
Earlier this year, the Financial Industry Regulatory Authority (FINRA) began to take a keen interest in non-traded REITs by conducting a sweep of the promotion practices and sales of broker/dealers associated with the products. [read post]
18 Dec 2010, 4:52 am
This next two years may be the last window to leash and collar a parasitic financial services industry. [read post]
17 Dec 2010, 12:16 pm
Acording to the report's introduction: The Financial Industry Regulatory Authority (FINRA) significantly expanded and enhanced its investor protection and market regulation... [read post]
17 Dec 2010, 9:00 am
However, in the beginning of October 2008, Financial Industry Regulatory Authority or FINRA launched a two year pilot program that allowed the investors to choose a panel consisting of only public arbitrators. [read post]
17 Dec 2010, 8:27 am
But it believes such self-regulatory safe harbors are far more likely to fit industries, and to keep up with changes in technology, business models, and consumer expectations than would standard rulemaking. [read post]
17 Dec 2010, 7:10 am
But it believes such self-regulatory safe harbors are far more likely to fit industries, and to keep up with changes in technology, business models, and consumer expectations than would standard rulemaking. [read post]
16 Dec 2010, 2:15 pm
First, the author’s are masters of the storytelling craft. [read post]
16 Dec 2010, 12:17 pm
The book has a lot of fodder for those who like to ponder what ifs and alternate regulatory worlds! [read post]
16 Dec 2010, 1:59 am
In Texas Food Industry Ass'n v. [read post]
14 Dec 2010, 7:50 pm
District Court for the Southern District of New York said it was sustaining the award issued by the Financial Industry Regulatory Authority arbitration panel. [read post]
14 Dec 2010, 2:35 pm
Congratulations to former TOTM blogger (and recent guest) and University of Chicago Law Professor Todd Henderson who has been appointed to serve a three-year term on the Financial Industry Regulatory Authority’s National Adjudicatory Council. [read post]
14 Dec 2010, 2:33 pm
Three members of the Financial Industry Regulatory Authority's board of governors said that small firms should not fear reprisals for complaints to the Ombudsman. [read post]
14 Dec 2010, 10:43 am
andnbsp; The regulators, or self-regulatory authority, now known as the Financial Industry Regulatory Authority, or FINRA, of which Morgan Stanley is a member, based upon this conduct, andquot;censuredandquot; Winitch and suspended him for a period of five years, meaning that in five years, after falsifying new account documents, and basically stealing from the accounts of disabled children, Winitch is free to be a stockbroker and a fiduciary… [read post]
14 Dec 2010, 8:49 am
The Commission recommended that the Health Act 2007 be amended to extend the authority of the Health Information and Quality Authority (HIQA) to regulate and monitor the provision of professional care in the home. [read post]
