Search for: "SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION"
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13 Jan 2012, 4:04 am
In a letter to the SEC, which must ultimately approve the rule change, the Securities Industry and Financial Markets Association said that as a practical and definitional matter there can be no “dispute” until the parties join issue in an ongoing legal proceeding by disagreeing about the facts or the law. [read post]
1 Nov 2011, 4:09 pm
In his view, quality regulation results from an interactive process, which is why it is important for a securities regulator to continue to communicate with a cross section of the market as well as globally. [read post]
3 Nov 2021, 6:13 am
This post is based on his recent remarks before the Securities Industry and Financial Markets Association annual meeting. [read post]
25 May 2018, 6:11 am
In April, eight organizations—the American Securities Association, Biotechnology Innovation Organization, Equity Dealers of America, Nasdaq, National Venture Capital Association, Securities Industry and Financial Markets Association, TechNet, and U.S. [read post]
15 Feb 2018, 10:03 am
Addressing the Securities Industry and Financial Markets Association’s Anti-Money Laundering & Financial Crimes Conference, Sigal Mandelker spoke broadly of the U.S. government’s efforts to combat money laundering, terrorist financing, narcotics trafficking, corruption, and other types of illicit finance and national security threats. [read post]
20 Oct 2022, 5:43 am
The investigation was reportedly in connection with Biernick’s potential unsuitable recommendations to customers while he was associated with Arive Capital Markets. [read post]
8 Jan 2024, 12:34 pm
It’s a non-profit association comprising lawyers who primarily represent investors in disputes with the securities industry. [read post]
29 Aug 2010, 4:45 pm
The Financial Industry Regulatory Authority, the Securities and Exchange Commission, and the North American Securities Administrators Association have updated their 2008 report regarding financial firms’ best practices when serving elderly investors. [read post]
17 May 2012, 10:49 am
Brokers and registered representatives who are dealing with past or present criminal cases need to understand a few things about how their criminal case - even those seemingly unrelated to the financial services industry - affects their ability to be associated or registered with a broker-dealer. [read post]
14 Nov 2011, 10:18 am
The hedge fund industry supports the European Securities and Market Authority’s principles-based approach in draft guidelines on systems and controls in a highly automated trading environment for trading platforms and investment firms. [read post]
24 Apr 2018, 12:15 pm
Rideaux Barred from Securities Industry appeared first on White Securities Law. [read post]
19 May 2017, 8:27 am
Bennett was suspended in August 2016 after she allegedly failed to respond to a request for information from the Financial Industry Regulatory Authority. [read post]
8 Oct 2020, 1:50 pm
Therefore, the art industry is extremely vulnerable to the financial crimes described in the Task Force’s recent report. [read post]
8 Oct 2020, 1:50 pm
Therefore, the art industry is extremely vulnerable to the financial crimes described in the Task Force’s recent report. [read post]
14 Oct 2021, 11:58 am
FINRA Bars Nick Palumbo after Allegations of “Selling Away” According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Nicholas R. [read post]
19 May 2017, 8:19 am
Anthony Mastroianni Jr. is a previously registered broker who has been barred by the Financial Industry Regulatory Authority from working as a broker or associating with companies that sell securities to members of the public. [read post]
19 Aug 2016, 8:17 am
In separate comment letters to the SEC, the Securities Industry and Financial Markets Association (SIFMA) and the Investment Company Institute (ICI) offered general support for the proposal, stating that expanding TRACE reporting to Treasuries would provide greater clarity to regulators while helping to ensure an efficient and competitive market for all investors. [read post]
3 Nov 2023, 10:39 am
They’re under the watchful eye of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). [read post]
2 Apr 2020, 4:14 pm
The historic legislation was assembled against a backdrop of financial industry associations and self-regulatory organization imploring federal regulators to keep the financial markets open, warning of the devasting consequences for the economy if they were closed. [read post]
17 Jan 2012, 9:00 pm
The Securities Industry and Financial Markets Association wants the Financial Industry Regulatory Authority Inc. to prevent brokers from being able to plead poverty to escape arbitration payment orders. [read post]
