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1 Dec 2023, 1:16 am
ArciTerra Strategic Retail, LLC ArciTerra Whitefish Opportunity Fund, LLC Suitability – Arciterra REITs FINRA (Financial Industry Regulatory Authority) has rules in place to ensure that broker-dealers and their associated representatives act in the best interests of their customers when recommending investments. [read post]
28 Nov 2023, 10:19 am
” Outside Business Activities – FINRA Rule 3270 The Financial Industry Regulatory Authority (FINRA) requires registered representatives to disclose any outside business activities (OBAs) to their member firm, which is the firm that employs them. [read post]
27 Nov 2023, 3:16 pm
For information about republication, please contact the author directly. [read post]
21 Nov 2023, 3:15 pm
The Media FAQ also states, “It is not sufficient for a health care provider to request or require media personnel to mask the identities of patients (using techniques such as blurring, pixelation, or voice alteration software) for whom authorization was not obtained, because the HIPAA Privacy Rule does not allow media access to the patient’s PHI, absent an authorization, in the first place. [read post]
16 Nov 2023, 6:28 am
Recently, Traderfield Securities Inc. and its principal, Mario Divita, found themselves at the center of regulatory scrutiny by the Financial Industry Regulatory Authority (FINRA). [read post]
15 Nov 2023, 8:55 am
The Financial Industry Regulatory Authority (FINRA) is the self-regulator that oversees brokers and brokerage firms. [read post]
13 Nov 2023, 9:05 pm
”[18] Instead, the Interpretive Guidance “puts the Council’s designation authority on equal footing with other powers. [read post]
12 Nov 2023, 9:23 pm
The Ten Fastest Growing Independent Broker-Dealers in 2022 According to Investment News, the following brokerage firms are the top ten fastest growing independent broker-dealers, as of December 2022: 1 Alden Investment Group 2022 revenue: $18.35 million 2021 revenue: $5.88 million Change: 212.1% 2 Prospera Financial Services, Inc. 2022 revenue: $109.94 million 2021 revenue: $82.01 million Change: 34.1% 3 Arkadios Capital 2022… [read post]
10 Nov 2023, 1:35 pm
quickly to implement and communicate 2024 health spending account (“HFSA”), high deductible health plan amounts relevant to determining eligibility to contribute to a medical savings account (“MSA”), adoption credit and exclusion limits, and other inflation-adjusted limitations relevant to the annual enrollment, withholding and other year-end tax and benefit planning of workers and their families to assist workers to take into account these adjustments during 2024 benefit… [read post]
10 Nov 2023, 7:44 am
FINRA (The Financial Industry Regulatory Authority) is the self-regulator that oversees brokers and brokerage firms. [read post]
9 Nov 2023, 1:48 pm
Solutions Law Press, Inc. invites you receive future updates by registering on our Solutions Law Press, Inc. [read post]
9 Nov 2023, 1:07 pm
quickly to implement and communicate 2024 health spending account (“HFSA”), high deductible health plan amounts relevant to determining eligibility to contribute to a medical savings account (“MSA”), adoption credit and exclusion limits, and other inflation-adjusted limitations relevant to the annual enrollment, withholding and other year-end tax and benefit planning of workers and their families to assist workers to take into account these adjustments during 2024 benefit… [read post]
8 Nov 2023, 10:14 pm
FINRA Rule 2111: Suitability FINRA Rule 2111 is a regulation established by the Financial Industry Regulatory Authority (FINRA), which governs the suitability of recommendations made by broker-dealers to their clients. [read post]
8 Nov 2023, 9:24 am
(CRD#: 8158/SEC#: 801-7571,8-497) and the Financial Industry Regulatory Authority Inc. [read post]
5 Nov 2023, 6:03 pm
In a recent regulatory development, BrokerBank Securities, Inc. and its CEO, Philip Paul Wright, faced severe sanctions from the Financial Industry Regulatory Authority (FINRA). [read post]
5 Nov 2023, 3:10 pm
Characterizing each of the violations as due to reasonable cause and not willful neglect, the Proposed CMP Notice made note that OCR was authorized by sta [read post]
1 Nov 2023, 12:38 pm
FINRA (The Financial Industry Regulatory Authority) is the self-regulator that oversees brokers and brokerage firms. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
