Search for: "Securities and Financial Markets Association"
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11 Mar 2022, 6:52 am
While there can be valid reasons an account is concentrated in a single security or type of security, the broker must discuss with their client the avoidable risks associated with that concentration. [read post]
8 Jan 2024, 12:34 pm
Their core mission revolves around advocating for investor protection, promoting fairness and transparency in the financial markets, and ensuring that investors have access to legal resources and representation when facing disputes with brokers or financial advisors. [read post]
21 May 2009, 2:42 am
It is precisely what the associations called an ``immense difference'' between the economic value of the underlying assets in the security and the prices brokers are offering that has frozen the markets. [read post]
31 Mar 2017, 6:34 am
Unfortunately for investors it appears that many financial advisors/brokerage firms that sold Dividend Capital understated or misrepresent the risks and liquidity problems associated with a non-traded REIT such as Dividend Capital. [read post]
18 Aug 2022, 5:21 am
Morgan Securities Ocean Financial Services, LLC Trust Investment Services, Inc. [read post]
21 May 2020, 5:43 am
“Any time there is a market downturn, PIABA [Public Investor Advocate Bar Association] attorneys start soliciting clients. [read post]
23 Aug 2021, 4:26 pm
This is particularly important in the context of the operation of financial markets. [read post]
7 Jun 2011, 1:01 am
In a decision that largely turned on detailed confidential witness statements, on June 7, 2011, Northern District of Alabama Judge Inge Prytz Johnson denied the motions to dismiss in the Regions Financial Corporation subprime-related securities lawsuit. [read post]
7 Sep 2023, 8:15 am
Among other things the trade associations assert that the AAR would negatively impact EU capital markets by introducing fragmentation and loss of netting benefits and make the EU less resilient to market stresses with no benefit to EU financial stability. [read post]
15 May 2009, 7:26 am
Securities and Exchange Commission may launch a civil proceeding against the Morgan Keegan & Co. brokerage unit of Regions Financial Corp. [read post]
16 Sep 2013, 9:52 am
On September 7, the European Securities and Markets Authority (ESMA) published a consultation paper on draft regulatory technical standards (RTS) on information requirements for the assessment of acquisitions and increases in holdings in investment firms under the Markets in Financial Instruments Directive (2004/39/EC) (MiFID). [read post]
25 Apr 2010, 6:34 pm
SolutionTrading securities must be presented in firms’ financial statements at their fair market values. [read post]
19 Jan 2010, 12:44 pm
The President of the North American Securities Administrators Association, in testimony before the Financial Crisis Inquiry Commission last week, continued to blast the SEC and FINRA for dropping the ball. [read post]
23 Jul 2020, 1:50 pm
Seeking new sources of funding, New York and New Jersey—two states at the heart of global financial markets—are considering financial transaction taxes. [read post]
6 Mar 2019, 4:22 am
On 5 March 2019, the Association for Financial Markets in Europe published a letter sent alongside a number of European and international financial bodies (including the FIA; ISDA; AIMA; and the EBF) (collectively, the Industry Bodies) to European Commission Vice-President Valdis Dombrovskis on the equivalence of UK derivatives trading venues under EMIR and MiFIR. [read post]
24 Aug 2022, 9:01 pm
”[16] On November 18, 2021, the Financial Crimes Enforcement Network (“FinCEN”) issued a Notice calling the market’s attention “to an upward trend in environmental crimes and associated illicit financial activity. [read post]
7 Mar 2024, 9:05 pm
Does the enforcement of securities law by government authorities make a difference for market outcomes? [read post]
14 Apr 2012, 5:53 pm
Last summer, the Securities Industry and Financial Markets Association also recommended that the Commission set up a framework that is separate and distinct from the existing statutory standard. [read post]
12 Mar 2015, 8:40 am
District Court for the District of Columbia in the matter Securities Industry and Financial Markets Association, et al. v. [read post]
2 Jan 2018, 6:57 am
Trenchard’s CRD lists a business called Market Technician’s Association and no other businesses. [read post]
