Search for: "Financial Industry Regulatory Authority"
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24 Oct 2022, 12:15 am
AThe Financial Industry Regulatory Authority, aka FINRA, is a non-profit Delaware corporation. [read post]
23 Oct 2022, 7:03 pm
Consumer Financial Protection Bureau, No. 15-1177, (D.C. [read post]
21 Oct 2022, 11:33 am
All of these entities are able to exercise rulemaking and enforcement authority, within their regulatory bailiwick, just like the CFPB. [read post]
21 Oct 2022, 9:40 am
The Consumer Financial Services Association of America (CFSA), an industry trade organization for small dollar lenders, challenged the rule and also challenged the CFPB’s constitutionality. [read post]
21 Oct 2022, 7:15 am
Raymond James Reps Allegedly Schemed to Overcharged Customers According to public records, the Financial Industry Regulatory Authority (FINRA) censured and fined Raymond James Financial Services (RJFS) for supervisory failures and other rules violations. [read post]
21 Oct 2022, 2:09 am
With this release, important financial data and metrics are available to authorized Client Portal users on-demand and in real-time. [read post]
20 Oct 2022, 9:47 pm
Analyzing these trends through data collection and study, the authors further argued, could be a useful tool for consumer financial regulators who supervise the market. [read post]
20 Oct 2022, 5:43 am
FINRA Reportedly Bars Advisor Mitchell Biernick after allegations of Unsuitable Recommendations According to the Financial Industry Regulatory Authority (FINRA) on October 18, 2022, the regulator has barred Mitchell Biernick (CRD #2690172) from working in the securities industry after he reportedly refused to appear for on the record testimony. [read post]
18 Oct 2022, 11:20 am
Hsu expressed concerns about risks to consumers and the financial system posed by crypto industry participants. [read post]
18 Oct 2022, 8:35 am
Further, NFTs that qualify as financial instruments may also be caught by MiCA. [read post]
17 Oct 2022, 1:39 pm
One-stop shops are often partnerships between lawyers and other professionals, such as accountants or financial advisers, and offer holistic, multi-professional solutions for their consumers. [read post]
16 Oct 2022, 9:05 pm
Alas, many industry stakeholders have discovered that an extremely effective, stealthy way to undermine the rulemaking process without changing the substance or authority of agencies is to encumber them with procedures of breathtaking complexity. [read post]
16 Oct 2022, 10:17 am
Nearly two years ago, 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 an adjudication of any issue, Terry Tzagarakis submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
16 Oct 2022, 3:50 am
Companies moving into law from outside of the legal services industry include Law on Call, which is the new legal subsidiary of a registered agent company authorized in the Utah sandbox. [read post]
14 Oct 2022, 11:59 am
As a result, the Financial Industry Regulatory Authority’s (“FINRA”) Office of Financial Innovation (“OFI”) published a report addressing the results of a study regarding the state of cloud adoption within the securities industry. [read post]
13 Oct 2022, 9:03 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
13 Oct 2022, 11:58 am
If you are someone whose Sanctuary Securities broker recommended that you invest in GPB Capital Holdings private placement funds, you may be able to file a Financial Industry Regulatory Authority arbitration claim or FINRA arbitration claim for your losses. [read post]
12 Oct 2022, 9:05 pm
Rather, they argue that financial support from public sources, such as the National Institutes of Health (NIH), is far more critical to innovation than are drug manufacturers. [read post]
12 Oct 2022, 1:13 pm
The regulatory process leading to the Vineyard Wind Project offshore Massachusetts began in 2010. [read post]
11 Oct 2022, 4:01 pm
Indeed, until early January 2021, the FLSA lacked even a regulatory definition of the term. [read post]
