Search for: "Financial Industry Regulatory Authority"
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11 Oct 2022, 6:37 am
The chamber’s comment letter emphasized that the CFTC does not have explicit statutory authority to pursue many of the policies suggested by the CFTC’s RFI and further urged the agency to tread lightly if it does move ahead with regulatory or policy initiatives on climate-related disclosures.Statutory authorities, Administration policy. [read post]
11 Oct 2022, 5:03 am
FINRA Alerts Firms about Fraudulent Transfer of Customer Accounts thru ACATS According to a special notice issued by the Financial Industry Regulatory Authority (FINRA), the regulator is alerting brokerage firms about a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), an automated system administered by the National Securities Clearing Corporation (NSCC), that facilitates the… [read post]
10 Oct 2022, 1:25 pm
The Legislature also passed two budget trailer bills, AB 205 and AB 209, to provide financial resources to effectuate the state’s clean energy goals. [read post]
10 Oct 2022, 1:07 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kirk Badii (Badii) has at least eight disclosable events. [read post]
10 Oct 2022, 5:11 am
.; Proposed Rule Change, as Modified by Amendment No. 2, to Amend Rule 25.3, Which Governs the Exchange’s Minor Rule Violation Plan, in Connection with Certain Minor Rule Violations and Applicable Fines.SR-FINRA-2022-017: Financial Industry Regulatory Authority, Inc.; Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. [read post]
9 Oct 2022, 7:22 pm
In today’s essay (Part II), I’ll add a second counterintuitive insight: For the most part, lawyers pay little or no financial price for organizing themselves as a confederation rather than a firm. [read post]
7 Oct 2022, 6:39 am
It is primarily focused on AI’s proliferation in human services, including hiring, education, healthcare provisioning, financial services access, commercial surveillance and more. [read post]
6 Oct 2022, 2:11 pm
An investor who lost $1 million investing in variable annuities sold by Northstar Financial Services (Bermuda) has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Hancock Whitney Investment Services, Inc., and the Hancock Whitney broker who concentrated his retirement portfolio in Northstar offerings. [read post]
6 Oct 2022, 9:56 am
Barclays Sanctioned for Best Execution Violations and Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined Barclays Capital Inc. [read post]
6 Oct 2022, 7:32 am
UBS Sanctioned for Reg SHO Violations and Supervisory Failures According to a press announcement this week, the Financial Industry Regulatory Authority (FINRA) has reportedly fined UBS Securities LLC (UBS) $2.5 million for Regulation SHO violations and supervisory failures spanning a period of nine years. [read post]
5 Oct 2022, 1:13 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Anthony Gallea (Gallea) has at least four disclosable event. [read post]
4 Oct 2022, 2:57 pm
Stamer helps health industry and other organizations and their management manage. [read post]
4 Oct 2022, 8:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Eduardo Da Cruz (Da Cruz) has at least one disclosable event. [read post]
4 Oct 2022, 8:33 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Pecoraro (Pecoraro), associated with Spartan Capital Securities, LLC (Spartan Capital) has been subject to at least 11 customer complaint, six regulatory actions, and one judgement or liens during his career. [read post]
4 Oct 2022, 7:00 am
Scott has vast experience representing investors in arbitration before FINRA (Financial Industry Regulatory Authority), AAA (American Arbitration Association), and NFA (National Futures Association). [read post]
3 Oct 2022, 12:12 pm
TechCrunch, the Financial Times, Forbes, and The Verge report the ruling. [read post]
3 Oct 2022, 10:47 am
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]
2 Oct 2022, 12:47 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
1 Oct 2022, 8:14 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Good was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity. [read post]
30 Sep 2022, 11:33 pm
The Nigerian authorities claimed the action was necessary to protect its sovereignty on the grounds that the platform was being used by a separatist leader to sow discord. [read post]
