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28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
28 Feb 2023, 7:11 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
28 Feb 2023, 6:25 am
The Court will consider in Consumer Financial Protection Bureau (CFPB) v. [read post]
27 Feb 2023, 9:16 am
That said, the metaverse brings new legal, regulatory, and technical issues that may not be addressed or even contemplated in existing legislation. [read post]
27 Feb 2023, 6:01 am
Whether a lawmaker like Brown faced a formal conflict of interest or not, Horner added, ‘it would at minimum be a bad look.'” “Plaintiff Lawyers Ask Finra To Build Database of Ejected Arbitrators” — “The Public Investors Advocate Bar Association is pushing for more transparency around how arbitrators are selected in the Financial Industry Regulatory Authority forums by providing public explanations when arbitrators are… [read post]
26 Feb 2023, 10:00 am
The outbreak was a turning point for food safety, leading to some of the first significant regulatory reforms in nearly a century. [read post]
24 Feb 2023, 8:22 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
24 Feb 2023, 1:27 pm
In con law we attribute doctrinal shifts to ideological/intellectual shifts—new ways of thinking about industrial organization. [read post]
24 Feb 2023, 12:58 pm
The standards for organizational sentencing offer organizations the opportunity to mitigate their liability exposure if it can persuade the prosecuting U.S. attorneys office (“USAO”) it had in place and followed an effective compliance program, promptly reported the violation to the authorities, and that high level were not involved in the actual offense conduct. [read post]
24 Feb 2023, 5:30 am
First Allied has a history of broker misconduct and disciplinary actions, according to the Financial Industry Regulatory Authority (FINRA). [read post]
23 Feb 2023, 9:01 pm
Analyzing patterns in market data, combined with traditional law enforcement techniques, our team of agents and prosecutors, in parallel to our regulatory partners, caught and disrupted these complex schemes. [read post]
23 Feb 2023, 7:41 am
Securities arbitration is a method of resolving disputes between investors and their brokers or brokerage firms, which is governed by the Financial Industry Regulatory Authority (FINRA). [read post]
22 Feb 2023, 5:02 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
22 Feb 2023, 9:35 am
FINRA Reportedly Bars Antoine Souma from the Securities Industry According to public documents, the Financial Industry Regulatory Authority (FINRA) has barred former broker and investment advisor Antoine Souma (CRD#: 4210987) from associating with any FINRA member at any time. [read post]
22 Feb 2023, 6:54 am
The Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has also recently raised concerns in a report on exam priorities, that mobile apps can benefit investors, but they also raise “novel questions and potential concerns. [read post]
21 Feb 2023, 9:44 am
Laidlaw & Company Reportedly Sanctioned for Failure to Supervise, other Regulatory Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Laidlaw & Company LTD $200,000 after a cycle examination of the firm. [read post]
21 Feb 2023, 7:04 am
Like all investment firms, Citigroup is required to resolve investor claims through arbitration with the Financial Industry Regulatory Authority (FINRA). [read post]
