Search for: "Financial Industry Regulatory Authority"
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6 Jul 2022, 3:21 am
We need proper supervision to make sure that the regulatory dialogue works. [read post]
5 Jul 2022, 1:32 pm
Silver Law Group represents clients in petitions with Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit organization that oversees U.S. broker-dealers. [read post]
5 Jul 2022, 10:32 am
From 1989 to 1995, she consulted in private practice in litigation support for regulatory and antitrust matters. [read post]
5 Jul 2022, 9:07 am
The FCA has issued consultation proposals as these concern parts of the UK wholesale financial markets regime that are already set out in regulatory rules and guidance and are not contingent on changes that are intended to be implemented via the Financial Services and Markets Bill. [read post]
5 Jul 2022, 8:39 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
5 Jul 2022, 8:00 am
Broker-Dealer Ordered to Pay Customers More Than $625K in Restitution The Financial Industry Regulatory Authority (FINRA) sanctioned National Securities Corporation for about $9M, including $4.77M disgorgement in net profits. [read post]
5 Jul 2022, 7:12 am
Barron's Kenneth Corbin reported Friday: A Finra [Financial Industry Regulatory Authority] arbitration panel has awarded a former partner [Daniel Michalow] with the hedge fund group D.E. [read post]
5 Jul 2022, 4:00 am
Law publishing industry veteran and innovator, Jason Wilson has been pondering on relevant matters as the case of ROSS v. [read post]
4 Jul 2022, 9:05 pm
Concluding that the EPA had claimed to discover “an unheralded power” to effect a “nationwide transition away from the use of coal to generate electricity,” it ruled in a 6-3 decision, authored by the Chief Justice, that: “[I]t is not plausible that Congress gave the EPA the authority to adopt on its own such a regulatory scheme in Section 111(d)” of the Clean Air Act.[18] Chief Justice Roberts’ decision, while greatly… [read post]
4 Jul 2022, 6:36 am
And by “dislike,” we mean disliked by those who have its ear: industries that harm or kill people. [read post]
3 Jul 2022, 8:00 am
Although not a respondent in the Financial Industry Regulatory Authority (FINRA) arbitration claim, Korsch allegedly unsuitably recommended this risky life settlement-backed bond to the customer. [read post]
30 Jun 2022, 4:02 pm
Levoff ignored these restrictions by repeatedly executing trades based on material, nonpublic information without Apple’s knowledge or authorization. [read post]
30 Jun 2022, 12:05 pm
Infinex Broker Roberto Leslie Accused of Unsuitably Recommending Offshore Entity Two investors from Mexico City who worked with Infinex financial advisor Roberto Francisco Leslie have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Infinex Investments. [read post]
28 Jun 2022, 7:00 am
Although this is the SEC’s first legal action regarding Reg BI, the Financial Industry Regulatory Authority issued a report of its examination findings and risk monitoring guidance in February of this year, explaining in detail the types of deficiencies relating to Reg BI that its examiners were observing in their examinations of broker-dealers. [read post]
28 Jun 2022, 5:26 am
The Financial Industry Regulatory Authority (FINRA) regulates securities brokers and brokerage firms, and FINRA arbitration provides a streamlined forum for defrauded investors to pursue claims for recovery. [read post]
27 Jun 2022, 9:03 pm
Under the assessment process, FSIS will evaluate each state’s statutory and regulatory authority, sampling procedures, and inspection coverage. [read post]
27 Jun 2022, 5:36 am
Third, they complained that the financial costs of compliance, namely purchasing, installing, and operating GPS-tracking devices, was an excessive and unwarranted burden upon the charter boat industry. [read post]
26 Jun 2022, 9:05 pm
There are many other studies proposed in the act, as well as an Advisory Committee on Financial Innovation with 10 members, including two appointed by the president from the financial technology industry, four appointed by the president with specializations in consumer protection, consumer education, financial literacy, or financial inclusion, one commissioner from the SEC, one from the CFTC, one member of the Federal Reserve Board of Governors, and one… [read post]
25 Jun 2022, 12:37 pm
“A shot in the dark: how the Sandy Hook plaintiffs established legal standing against the gun industry. [read post]
24 Jun 2022, 9:58 am
Britain Plans to Regulate ‘Buy Now, Pay Later’ LendersReuters – June 20, 2022 Britain plans to make “buy now, pay later” (BNPL) companies carry out affordability checks, gain approval by the Financial Conduct Authority (FCA) and ensure adverts are fair and clear, the government said on Monday, in measures to regulate the sector. [read post]
