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23 Mar 2023, 12:57 pm
What is FINRA Rule 2111 Suitability? [read post]
23 Mar 2023, 8:53 am
Financial Industry Regulatory Authority, finra rule 2010, finra arbitration attorneys, FINRA rules, FINRA oversight The post FINRA Rule 3270 Outside Business Activities appeared first on The White Law Group. [read post]
23 Mar 2023, 7:26 am
FINRA Regulation Best Interest In Action Last year, a company called Western International Securities was the first broker dealer to be sanctioned by the SEC under Reg BI for their sales of the now-defunct GWG Holdings’ investment called L-Bonds. [read post]
22 Mar 2023, 9:01 pm
[4] See Staff of the Division of Trading and Markets, Securities and Exchange Commission, “Re: Simplified Process for Electronic Filing of Broker-Dealer Annual Report with the Securities and Exchange Commission” (Jan. 17, 2017), available at https://www.sec.gov/divisions/marketreg/mr-noaction/2017/finra-012717-electronic-filing-annual-reports.pdf. [read post]
22 Mar 2023, 12:52 pm
Jake is one of the preeminent lawyers in the country for securities frauds matters and FINRA arbitration. [read post]
22 Mar 2023, 9:19 am
In addition to their knowledge of FINRA rules and procedures, FINRA arbitration attorneys at the White Law Group also have experience in securities law and litigation. [read post]
22 Mar 2023, 12:15 am
An obvious question is whether any in this alphabet soup of regulators (DFPI, FRB, FDIC, CFPB, FINRA and Nasdaq) fell down on the job. [read post]
21 Mar 2023, 1:14 pm
FINRA Rule 5330 – Adjustment of Orders: FINRA prohibits broker-dealers from adjusting or canceling a customer order without the customer’s consent. [read post]
21 Mar 2023, 9:25 am
What is FINRA Rule 2010? [read post]
21 Mar 2023, 7:46 am
FINRA, a self-regulatory organization that oversees the securities industry in the United States, maintains the FINRA CRD. [read post]
21 Mar 2023, 7:31 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
20 Mar 2023, 11:59 am
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
20 Mar 2023, 3:55 am
JOIN TODAY -- FREE MEMBERSHIP (BrokeAndBroker.com Blog) DOJ RELEASES SEC RELEASES CFTC RELEASES FINRA RELEASES = = =3/20/2023 Financial Professionals Coalition, Ltd. [read post]
20 Mar 2023, 3:55 am
Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam (BrokeAndBroker.com Blog) Should FINRA stop requiring sponsorship to take the Series 7 Exam (Capital Advantage Tutoring by Kenneth Finnen) Financial Professionals Coalition, Ltd. [read post]
20 Mar 2023, 3:55 am
Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
20 Mar 2023, 3:55 am
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam (BrokeAndBroker.com Blog) Robinhood hits class-action marketing firm with subpoena in spam text case (Bloomberg by Alison Frankel) Should FINRA stop requiring sponsorship to take the Series 7 Exam (Capital Advantage Tutoring by Kenneth… [read post]
20 Mar 2023, 3:55 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6948/securities-industry-commentator/ GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq (BrokeAndBroer.com Blog) SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case (BrokeAndBroker.com Blog) Financial… [read post]
20 Mar 2023, 3:55 am
SEC Tells FINRA t... [read post]
18 Mar 2023, 7:08 am
The post Finra Exec Says 1,000 Reg BI Exams Are On Tap For 2023 appeared first on Stoltmann Law. [read post]
17 Mar 2023, 2:56 pm
While, as FINRA notes, litigation and arbitration are both possible options, recovering fraudulent investment losses involves pursuing FINRA arbitration in most cases. [read post]
