Search for: "Financial Industry Regulatory Authority"
Results 1261 - 1280
of 11,221
Sorted by Relevance
|
Sort by Date
29 May 2023, 10:30 pm
Financial Regulatory Structure following the Dodd-Frank Act Access this practice note for a comprehensive review of the regulatory and supervision framework designed to resolve SIFIs and to protect U.S. financial stability. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
30 Jul 2013, 8:29 am
On top of that back and forth, we also find that EIAs generates a lot of compliance headaches in terms of unapproved outside sales -- as this recent settlement demonstrates.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without... [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
23 Jan 2015, 4:55 am
Then there are questions as to whether the regulator was asleep at the switch.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, OptionsHouse LLC submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA ... [read post]
7 Oct 2011, 4:03 pm
A federal circuit court has ruled that the Financial Industry Regulatory Authority Inc., or FINRA, cannot collect fines through court judgments, leaving investors to wonder how effective the self-regulatory organization can be as a disciplinary body. [read post]
2 Aug 2021, 9:39 am
FINRA Reportedly Suspends Kevin McCallum for Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended former LPL Financial advisor Kevin McCallum (CRD#: 2222586) for one year and reportedly ordered him to pay a fine of $25,000.00, disgorgement of $14,231.61 and restitution of $1,222,092.29. [read post]
10 Nov 2017, 6:00 am
The Financial Industry Regulatory Authority (“FINRA”) has requested public comment regarding two proposed amendments to the organization’s arbitration rules. [read post]
1 Dec 2010, 5:15 am
Former Morgan Stanley broker Joey Wade Dean is facing regulatory action from the Financial Industry Regulatory Authority (FINRA) in connection to sales of unlisted structured notes. [read post]
9 Jun 2023, 4:23 pm
Alpine Securities Corp. is appealing a federal court’s decision to allow the Financial Industry Regulatory Authority to continue its enforcement activities while the investment adviser’s challenge to its authority proceeds.The company’s filing Thursday came a day after the US District Court for the District of Columbia denied its request for a preliminary injunction.Alpine [...] [read post]
9 Jun 2023, 6:57 pm
Alpine Securities Corp. is appealing a federal court’s decision to allow the Financial Industry Regulatory Authority to continue its enforcement activities while the investment adviser’s challenge to its authority proceeds.The company’s filing Thursday came a day after the US District Court for the District of Columbia denied its request for a preliminary injunction.Alpine [...] [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]
26 Jan 2015, 8:24 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Sigma Financial Corporation (Sigma Financial) alleging from April 25, 2011, through June 24, 2012, supervisory deficiencies existed at Sigma in specific areas of Sigma’s supervisory systems and procedures including the firm’s supervision of registered representatives, the firm’s suitability processes and procedures, some of the firm’s implemented… [read post]
16 Mar 2011, 9:45 am
In a letter to Treasury Secretary Tim Geithner, House Financial Services Chair Spencer Bachus (R-Ala) questioned what role the Consumer Financial Protection Bureau had in drafting the proposals involved with a settlement of allegations of improper mortgage services procedures and what specific legal authority would permit an official associated with the Bureau, which does not have regulatory or enforcement authority, to participate in settlement… [read post]
4 Apr 2016, 10:27 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Timothy Hobbs (Hobbs). [read post]
31 Mar 2016, 12:12 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Robert Hardcastle (Hardcastle). [read post]
