Search for: "Financial Industry Regulatory Authority"
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9 Feb 2023, 9:16 pm
The subtitle itself is a major change for the cosmetics industry, bringing almost all manufacturers and distributors into a regulatory and reporting structure similar to that currently used by the FDA to govern drugs and medical devices. [read post]
9 Feb 2023, 9:05 pm
Given the industry’s exposure to the technology sector, the ongoing war in Ukraine [read post]
9 Feb 2023, 9:05 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
9 Feb 2023, 11:27 am
” The Financial Industry Regulatory Authority (FINRA), overseen by the SEC, provides regulatory services to the financial industry by licensing and regulating broker-dealers. [read post]
9 Feb 2023, 6:18 am
FINRA Censures and Fines Rosenblatt Securities According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has censured and fined Rosenblatt Securities, Inc., a broker-dealer headquartered in New York, NY, $35,000 in connection with private placement sales. [read post]
8 Feb 2023, 12:38 pm
Are we talking more about their financial products? [read post]
8 Feb 2023, 11:17 am
The SEC Approves new Designation on FINRA’s BrokerCheck of “Restricted Firm” According to reports this week, the Securities and Exchange Commission gave approval to the Financial Industry Regulatory Authority (FINRA) to flag brokerage firms for bad behavior as a “restricted firm. [read post]
8 Feb 2023, 9:22 am
This week, The Financial Industry Regulatory Authority (FINRA) sanctioned two Laidlaw & Company brokers with the payment of more than $150,000 in restitution and fines after they were found to have violated the Reg BI rule. [read post]
7 Feb 2023, 9:02 pm
Your broker-dealer and financial advisor should be registered with the Financial Industry Regulatory Authority (FINRA), which has a forum where you would likely go to resolve your dispute. [read post]
7 Feb 2023, 7:00 am
The Financial Industry Regulatory Authority (FINRA) works with the SEC to regulate the securities industry, and it provides an arbitration forum for investors to pursue claims against their investment firms and advisors. [read post]
6 Feb 2023, 9:05 pm
Retail investors’ share of total equities trading volume in the U.S. is approaching 25 percent, up from 20 percent in 2020 and 10-15 percent in the preceding decade, and a survey conducted by the Financial Industry Regulatory Authority found that, despite a broad desire for socially responsible or sustainable investments, many of these investors don’t make such investments because they know little about ESG. [read post]
6 Feb 2023, 1:37 pm
None of this is intended to suggest there is any intrinsic value to calculating $91,000 from the perspective of the industry or the general public. [read post]
6 Feb 2023, 9:14 am
As we reported in March 2022, his FINRA BrokerCheck Profile indicates that the regulatory agency, the Financial Industry Regulatory Authority (FINRA) barred Rivero on June 4, 2021 after he allegedly refused to provide information and documents requested by FINRA in connection with its investigation of allegations made by his former customers. [read post]
5 Feb 2023, 8:41 pm
For most investors, this means filing a securities fraud lawsuit against their brokerage firm and possibly even their stockbroker, in Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
4 Feb 2023, 11:48 am
With regulatory and privacy enforcement actions frequently reaching into the eight- and nine-figure range, and the financial and reputational costs of data breaches and ransomware attacks rising, it’s no wonder that CLOs are focusing their attention on these fields. [read post]
4 Feb 2023, 3:20 am
Phoenix-based nonprofit health system Banner Health and its affiliates (“Banner Health”) paid $1.25 million and agreed to take corrective actions to resolve its exposure to potentially much greater Health Insurance Portability and Accountability Act (HIPAA) Security Rule civil monetary penalty exposure for a 2016 cyber hacking breach that compromised the person health information of 2.81 million consumers. [read post]
3 Feb 2023, 1:46 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other legal and… [read post]
3 Feb 2023, 12:40 pm
The Heroes Act, first enacted in the wake of the 9/11 terrorist attacks and later extended to cover all those serving in the military and persons affected by national emergencies, allows the secretary of education to “waive or modify any statutory or regulatory provision applicable to” student aid programs administered by the Department of Education if “a national emergency” caused student borrowers to be “placed in a worse position financially. [read post]
3 Feb 2023, 7:42 am
The Financial Industry Regulatory Authority (FINRA) barred Clay in March 2020, after he reportedly failed to provide information in FINRA’s investigation. [read post]
2 Feb 2023, 7:02 pm
Filing A FINRA Lawsuit With the Help of Skilled Broker Fraud Lawsuit Attorneys If you suffered investment losses that you believe were caused by the wrongful or negligent actions of your financial advisor, you may be able to pursue damages from them through Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
