Search for: "Financial Industry Regulatory Authority"
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23 Mar 2023, 9:04 am
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
23 Mar 2023, 8:53 am
The Financial Industry Regulatory Authority (FINRA), the regulator that oversees financial advisors and brokerage firms, requires registered representatives to disclose any outside business activities (OBAs) to their member firm, which is the firm that employs them. [read post]
22 Mar 2023, 7:30 am
Yesterday at the NAIC Spring National Meeting, the Working Group adopted a work plan which lays out a detailed schedule across the spring and summer for regulatory only meetings, consultations with industry, and open sessions, including public comment periods and final approval at the Fall National Meeting in December. [read post]
22 Mar 2023, 5:16 am
Experience across the regulatory landscape offers some cautionary lessons. [read post]
22 Mar 2023, 12:15 am
But wait, there's even more, the holding company and its non-bank was also subject to regulation by the Securities and Exchange Commission as well as at least two self-regulatory organizations - the Financial Industry Regulatory Authority, Inc. and The Nasdaq Stock Market LLC. [read post]
21 Mar 2023, 2:08 pm
Many of these changes have been welcomed by the carrier industry. [read post]
21 Mar 2023, 1:14 pm
FINRA Rules for Discretionary Accounts FINRA (Financial Industry Regulatory Authority), the self –regulator who oversees the securities industry, has rules regarding discretionary brokerage accounts. [read post]
21 Mar 2023, 9:25 am
The Financial Industry Regulatory Authority (FINRA) sets and enforces rules, such as Rule 2010, that govern the activities of its members, which include most of the securities firms doing business in the US. [read post]
21 Mar 2023, 7:46 am
Financial Industry Regulatory Authority Central Registration Depository (CRD) Database FINRA CRD stands for Financial Industry Regulatory Authority Central Registration Depository. [read post]
20 Mar 2023, 6:10 am
” Monaco admonished business leaders to take sanctions seriously, noting that DOJ is presently handing “corporate investigations that involve sanctions evasion” across the globe, in industries as varied as transportation, financial technology, banking, defense and agriculture. [read post]
18 Mar 2023, 8:08 am
The dream of every author is to have smart readers who comment on and react to her writing. [read post]
17 Mar 2023, 2:56 pm
FINRA’s Six Tips for Recovering Fraudulent Investment Losses The Financial Industry Regulatory Authority (FINRA) oversees the U.S. securities industry alongside the Securities and Exchange Commission (SEC), and it provides an arbitration forum through which defrauded investors can seek to recover their fraudulent investment losses. [read post]
17 Mar 2023, 4:00 am
Thompson, a former manager and lobbyist at Southwest Gas, said the meetings were beneficial to the public because it’s the job of commissioners “to reassure there’s regulatory stability in Arizona. [read post]
16 Mar 2023, 11:22 am
FINRA Bars David Shane Simmons from the Securities Industry According to public documents, the Financial Industry Regulatory Authority (FINRA) has barred broker David Shane Simmons (CRD#: 4655479) from associating with any FINRA member at any time. [read post]
16 Mar 2023, 9:57 am
“It is crucial that there is a clear regulatory framework to address cybersecurity,” Uyeda wrote. [read post]
15 Mar 2023, 7:20 am
FINRA Sanctions Webull Financial for Options Trading According to public documents this week, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has reportedly censured and fined Webull Financial LLC (CRD #289063)$3,000,000 for supervisory issues regarding options trading. [read post]
15 Mar 2023, 4:20 am
As this Thomson Reuters article from last summer notes, the proposed rules faced some considerable opposition from the financial services industry, and while various attempts have been made to move the rulemaking forward, it remains in a sort of regulatory limbo. [read post]
14 Mar 2023, 5:25 pm
The key reforms touch on issues of coordination, especially in the context of data governance.having the Ministry of Science and Technology (MOST) play a bigger role in improving the “new type of whole-nation system” for achieving technological breakthroughs and strengthening its “macro-management functions” relating to science and technology;restructuring China’s financial regulators by, among other changes, creating a new National Financial… [read post]
13 Mar 2023, 8:08 pm
The month also saw AUSTRAC sign a memorandum of understanding with the UK Financial Conduct Authority in February to strengthen regulatory collaboration to tackle financial crime. 1 Treasury releases a draft legislative objective for superannuation On 20 February 2023, the Federal Treasury announced its intention to legislate an objective for the superannuation regime, which is principally implemented via the Superannuation Industry (Supervision) Act… [read post]
13 Mar 2023, 11:19 am
FINRA Reportedly Bars Kevin Hobbs of PFS Investments from the Securities Industry According to public documents, the Financial Industry Regulatory Authority (FINRA) has barred former PFS Investments broker Kevin Andrew Hobbs (CRD#: 4267482) from associating with any FINRA member at any time. [read post]
