Search for: "Financial Industry Regulatory Authority"
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20 Nov 2022, 9:53 pm
Some companies like Epic Games and Spotify started to speak out in public, and later brought antitrust complaints with regulatory authorities and/or (in Epic's case) private antitrust litigation.Is Elon Musk also contemplating the next step--"a possible standoff with Apple Inc. and Alphabet Inc. [read post]
18 Nov 2022, 9:37 am
FINRA Bars Ed Turley after Allegations of Unsuitable Trading, Misrepresentation According to public records posted on FINRA’s website today, the Financial Industry Regulatory Authority has reportedly barred Edward “Ed” Turley (CRD#: 1872294) from associating with any FINRA member at any time. [read post]
18 Nov 2022, 3:00 am
” The move comes amid strong Republican pushback to financial institutions seeking to distance themselves from industries such as fossil fuels. [read post]
17 Nov 2022, 12:31 pm
On Nov. 9, 2022, the New York State Department of Financial Services (NYDFS) published a proposed second amendment to its cybersecurity regulation. [read post]
17 Nov 2022, 9:50 am
Meenagh, Matthew Rodwell, and Ksenia Koroleva On November 1, 2022, the Dubai Financial Services Authority (DFSA) crypto token regulatory regime came into effect. [read post]
17 Nov 2022, 9:50 am
Meenagh, Matthew Rodwell, and Ksenia Koroleva On November 1, 2022, the Dubai Financial Services Authority (DFSA) crypto token regulatory regime came into effect. [read post]
16 Nov 2022, 8:55 pm
At Shepherd Smith Edwards and Kantas (investorlawyers.com), our skilled investor loss attorneys are representing many of these investors in Financial Industry Regulatory Authority (FINRA) arbitrations. [read post]
15 Nov 2022, 3:19 pm
Supreme Court seeking review of the Fifth Circuit panel decision in Community Financial Services Association of America Ltd. v. [read post]
15 Nov 2022, 9:23 am
To learn more about the White Law Group’s claims please see: The White Law Group Files a Lawsuit against Arete Wealth Involving GWG Holdings Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment, prior to making recommendations to an individual investor. [read post]
11 Nov 2022, 2:37 pm
This sort of re-purposing of regulatory authority—pouring new wine out of old bottles—was something the Court would not allow in NFIB v. [read post]
11 Nov 2022, 9:39 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
11 Nov 2022, 6:16 am
While no obvious solution has materialized, the regulatory response to FTX’s fall may be about to begin.Already, multiple bills introduced in the 117th Congress would largely place authority to regulate crypto markets with the CFTC. [read post]
10 Nov 2022, 4:00 am
The inability of ordinary Canadians to get legal advice has not only begun to erode the public’s confidence in the self-regulatory authority of lawyers to control market participation but also given rise to new technologies aimed at supplanting traditional legal services altogether. [read post]
9 Nov 2022, 10:49 am
Brokers, on the other hand, are required to register with the Securities and Exchange Commission (SEC) and a self-regulatory organization working under the SEC, the Financial Industry Regulatory Authority (FINRA). [read post]
9 Nov 2022, 8:30 am
The Financial Industry Regulatory Authority (FINRA) last October launched a thorough examination of the activities of brokerage firms in relation to special purpose acquisition companies (SPACs) because of the risks of these investments and the potential for financial losses for retail investors. [read post]
8 Nov 2022, 8:25 pm
The same can be said for the outcomes of civil cases filed by the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), or a state securities regulator against a broker-dealer. [read post]
7 Nov 2022, 8:00 am
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have identified five of the most common techniques used in committing investment fraud. [1] More information on the first three of these tactics – the “phantom riches” tactic, the “social consensus” tactic, and the “credibility” tactic – and how investors can avoid them can be found in Part One of this two-part… [read post]
4 Nov 2022, 1:03 pm
Wedbush Securities to pay $850,000 after Allegations of Misrepresentations, Supervisory Failures According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has reportedly censured and fined Wedbush Securities $850,000 for regulatory failures. [read post]
4 Nov 2022, 11:56 am
Adam Isles discussed the increasingly disruptive cyberattacks on financial institutions and argued the importance of encouraging high-performing cybersecurity programs in the banking sector by complementing required “sticks” with voluntary “carrots” in regulatory incentivization. [read post]
4 Nov 2022, 7:56 am
(Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021,[11] amends the 1970 Bank Secrecy Act (BSA)[12] to include antiquities dealers in the definition of “financial institutions. [read post]
