Search for: "Financial Industry Regulatory Authority"
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20 May 2023, 3:48 pm
Addressing these obstacles in a relatively immature PACE lending industry will require some bold collaboration (.. similar in order of magnitude of the problem looking to be addressed) between government entities, financial institutions, and industry stakeholders to create standardization, raise awareness, and robust mechanisms for seamless real estate transfers. [read post]
20 May 2023, 2:06 pm
There is almost nothing more descriptive than the discourse of their coupling as they develop the language of reconstitution as increasingly differentiated authority-cores at the center of their respective trading and production chains even as they proclaim their respective desires to deal with all comers--on their terms. [read post]
20 May 2023, 6:29 am
The launch of the Unified Patent Court (UPC) on 1 June 2023 is a milestone for the industrial property sector at the European level. [read post]
19 May 2023, 12:50 pm
FINRA says Dual Registrants may be Exploiting Clients with Commissions plus Fees According to Advisor Hub this week, The Financial Industry Regulatory Authority (FINRA) is reportedly keeping an eye on hybrid brokers and investment advisors who may be using their dual status to maximize the fees and commissions they receive from customers. [read post]
19 May 2023, 12:00 am
A determinant enabling factor for this: A favourable regulatory framework. [read post]
18 May 2023, 11:11 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Hershberg was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity. [read post]
18 May 2023, 9:38 am
FINRA’s Supervision Rule FINRA’s supervision rule (FINRA Rule 3110) focuses on the regulatory oversight and monitoring conducted by the Financial Industry Regulatory Authority (FINRA) over its member firms and registered representatives in the securities industry. [read post]
18 May 2023, 6:09 am
Here is the author’s article. ************************ As professionals in executive risk, many of us follow industry developments, such as market and claim trends. [read post]
17 May 2023, 5:25 pm
In May 2023, Lighthouse Capital Group consented to an Acceptance, Waiver and Consent (AWC) with FINRA, the Financial Industry Regulatory Authority, which censured the firm and ordered a penalty fine of $250,000. [read post]
17 May 2023, 12:30 pm
Parker was permitted to resign from her firm and consented to a permanent bar from the Financial Industry Regulatory Authority (FINRA). [read post]
17 May 2023, 10:59 am
The Current State of Trust and Estate Management Challenges and Limitations Trust and estate management is a critical component of financial planning. [read post]
17 May 2023, 5:16 am
Addressing the proliferation of the spyware industry and the lack of appropriate regulatory structures to counter it is a solid move in favor of accountability. [read post]
16 May 2023, 9:01 pm
” One charge focused on failure to disclose potential financial risks arising from contamination of a river in Brazil, with excessive discharges of mercury attributed to deficient disclosure controls and procedures. [read post]
16 May 2023, 9:18 am
FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
15 May 2023, 9:12 am
| Scholars assess what it will take to support sustainability within the global fashion industry. [read post]
15 May 2023, 8:24 am
The Financial Industry Regulatory Authority (FINRA) has fined and suspended a former Cetera Advisors broker in Tucson, Arizona for failing to invest his customers’ funds in a way that would have qualified for mutual fund breakpoint discounts, according to a settlement finalized on Thursday and as reported on Advisor Hub and broker check. [read post]
15 May 2023, 7:37 am
Another important difference is that DG COMP has multiple industry-focused merger units (org chart (PDF)), one of which (COMP.C.5) focuses on IT, communication, and media industry mergers, while the members of the CMA's Microsoft-ABK inquiry group have zero tech industry background (if anything, they're experts in the financial services industry) and investigate mergers in a wide range of industries. [read post]
12 May 2023, 3:58 am
The merchandise associated with these detentions comes from an expanding number of countries (in order of statistical prominence: Malaysia, Vietnam, China, and Thailand) and a shifting yet comprehensive set of industries (spanning almost all chapters of the Harmonized Tariff Schedule of the United States). [read post]
12 May 2023, 3:58 am
The merchandise associated with these detentions comes from an expanding number of countries (in order of statistical prominence: Malaysia, Vietnam, China, and Thailand) and a shifting yet comprehensive set of industries (spanning almost all chapters of the Harmonized Tariff Schedule of the United States). [read post]
11 May 2023, 9:05 pm
EDITOR’S CHOICE In an essay in The Regulatory Review, Brandy L. [read post]
