Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC." Results 121 - 140 of 3,176
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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]
27 Oct 2023, 6:00 am by Michelle
It’s Early, But the CFPB’s Open Banking Rule Is Getting an Industry Thumbs UpDigital Transactions News – October 20, 2023 A day after the Consumer Financial Protection Bureau floated a proposed data rights rule, reaction from the payments industry has been largely positive. [read post]
26 Oct 2023, 7:49 am by Silver Law Group
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
25 Oct 2023, 7:36 am by Silver Law Group
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
20 Oct 2023, 2:40 pm by CFM Admin
The Audit Rule requires RIAs to obtain annual audited financial statements for each of its fund clients. [read post]
18 Oct 2023, 9:01 pm by renholding
Key Takeaways In light of the DIMA case and the focus by the SEC on climate and ESG-related issues, fund sponsors, companies, and financial institutions should consider the following key takeaways: Bold statements will draw regulatory attention. [read post]
17 Oct 2023, 10:23 am by The White Law Group
FINRA Bars Cambridge Broker Todd Lesk after Crypto Asset Offering Sales  According to public documents, the Financial Industry Regulatory Authority (FINRA) has reportedly barred former broker Todd Lesk (CRD#: 2788300) from the securities industry. [read post]
13 Oct 2023, 12:12 pm by Guest Author
Recall that the issue in Relentless—as in Loper Bright—is whether the Magnuson-Stevens Act authorizes the government to make the fishing industry pay for the federal monitoring staff on fishing boats. [read post]
10 Oct 2023, 3:53 pm by Banks Law Office
FINRA (The Financial Industry Regulatory Authority Inc.) has been penalizing broker-dealers for their involvement in selling high-risk GPB private placements, which were limited partnerships investing in income-producing businesses. [read post]
9 Oct 2023, 1:21 pm
Kim files this “Complaint” against Defendant Financial Industry Regulatory Authority, Inc. [read post]
6 Oct 2023, 9:00 am by Zak Gowen
Roger Marshall, a Republican who threatened to withhold his support for the National Defense Authorization Act if the CCCA didn’t get a vote. . . . [read post]
28 Sep 2023, 12:22 pm by The White Law Group
  FINRA Rules and Suitability of Alternative Investments  The Financial Industry Regulatory Authority (FINRA) has rules regulating broker dealers’ sales of investments. [read post]
28 Sep 2023, 10:03 am by jeffreynewmanadmin
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority. [read post]
27 Sep 2023, 7:30 am by The White Law Group
  Easy Way to Check your Broker – FINRA BrokerCheck  Most CFP professionals fall under the jurisdiction of the Financial Industry Regulatory Authority (FINRA) and/or the U.S. [read post]