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11 May 2023, 9:01 pm
Further, the Commission re-proposed amendments to Rule 15b9-1 to require broker-dealers in the markets to register with the Financial Industry Regulatory Authority (FINRA).[19] By extending FINRA oversight to potentially dozens of broker-dealers, the proposed amendments would strengthen oversight of firms trading securities across several markets. [read post]
11 May 2023, 5:22 am
According to the comment letter, GDCA is a “global, voluntary Self-Regulatory Association for the digital asset and cryptocurrency industry. [read post]
11 May 2023, 3:00 am
Members include entrepreneurs, investors, and advisers who work with early stage private companies and smaller public companies – as well as the SEC’s Advocate for Small Business Capital Formation and three non-voting members appointed by each of the SEC’s Investor Advocate, the North American Securities Administrators Association (NASAA), and the Small Business Administration, as well as an observer appointed by the Financial Industry Regulatory… [read post]
10 May 2023, 12:55 pm
Financial Industry Regulatory Authority (FINRA) Rules The Financial Industry Regulatory Authority (FINRA) works alongside the SEC to regulate the U.S. securities markets. [read post]
10 May 2023, 11:19 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended former Morgan Stanley broker Michael R. [read post]
10 May 2023, 9:59 am
In a recent regulatory case, on May 5, 2023, the Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers imposed sanctions on Centaurus Financial, Inc. and its financial advisor Donnie Ingram for engaging in unsuitable and unethical practices, as well as supervisory failures. [read post]
10 May 2023, 6:46 am
On 21 April 2023, the Financial Conduct Authority (FCA) published a consultation paper (CP23/8) (CP) on proposed rule changes to address issues identified within the multi-occupancy building insurance market which are leading to poor outcomes for leaseholders. [read post]
9 May 2023, 11:55 am
And often in terms of class actions. investment fraud, generally lends itself to FINRA arbitration, the Financial Industry Regulatory Authority, where individuals or institutions can bring their claims against broker dealers, and financial advisors that sold them of faulty products or made false statements. 02:20 Now with that in mind, let’s describe these proceedings a bit. [read post]
9 May 2023, 5:16 am
As the demand to cast a regulatory net over digital industries has grown in recent years, one call in particular has emerged from the noise: support for the creation of a digital regulator to do the job. [read post]
8 May 2023, 6:57 am
Merrill Lynch, who self-reported the issue, reportedly signed separate consent orders with the Financial Industry Regulatory Authority (FINRA) and the New Hampshire Bureau of Securities Regulation. [read post]
7 May 2023, 7:01 am
The burden of compliance weighs heavily on the applicant and often at a significant financial cost. [read post]
5 May 2023, 9:15 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
5 May 2023, 6:22 am
The Consultation Paper aims to collect industry feedback on the Draft Amendments to ensure that the regulatory approach is reasonable and permits flexibility in the rapidly developing area of AI. [read post]
5 May 2023, 6:22 am
The Consultation Paper aims to collect industry feedback on the Draft Amendments to ensure that the regulatory approach is reasonable and permits flexibility in the rapidly developing area of AI. [read post]
4 May 2023, 9:31 pm
Lastly, the laws make it easier for victims of gun violence to sue the gun industry. [read post]
4 May 2023, 8:49 am
Privacy Policy: By subscribing to Liskow & Lewis’ E-Communications, you will receive articles and blogs with insight and analysis of legal issues that may impact your industry. [read post]
4 May 2023, 6:47 am
"China's financial sector, like other developing countries that have just grown up, is a young industry that does not have a mature ecosystem and is not fully moving. [read post]
3 May 2023, 9:03 pm
The private fund industry is dynamic precisely because advisers can enter the industry easily and cannot count on anyone to rescue them if they fail. [read post]
3 May 2023, 11:54 am
But as Coinbase, and others have pointed out, the SEC has not told the industry how that can be accomplished. [read post]
2 May 2023, 9:51 am
” The joint statement outlines each respective agencies’ commitment to enforce their respective legal and regulatory authority to ensure responsible innovation in the AI space. [read post]
