Search for: "Financial Industry Regulatory Authority"
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16 Jun 2022, 10:36 am
It is expected that longer-term discussions with industry are needed, given these discussions will be especially complicated and technical. [read post]
16 Jun 2022, 8:53 am
Finally, organizations need to consider how their records can be accessed, given that regulatory authorities may request a copy of them. [read post]
15 Jun 2022, 1:34 pm
FINRA Bars Anthony “Tony” Liddle after he Failed to Provide Information in its Investigation According to a Letter of Acceptance Waiver and Consent on June 14, the Financial Industry Regulatory Authority (FINRA) has barred Anthony “Tony” Liddle (CRD#: 5478479) from associating with any FINRA member at any time after Liddle reportedly refused to provided information in its investigation. [read post]
14 Jun 2022, 2:11 pm
Finally, organizations need to consider how their records can be accessed, given that regulatory authorities may request a copy of them. [read post]
14 Jun 2022, 8:06 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the Federal Bureau of Investigation, and the U.S. [read post]
14 Jun 2022, 7:02 am
Center Street Securities is Named in this Six-Figure FINRA Arbitration Case An older couple who live in Cleveland, Tennessee has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim seeking up to $500K in damages from Center Street Securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 9:11 pm
“The challenges of digitalisation are the financial cost or the perceived cost to businesses, a lack of information, training and resources, fragmentation in governance or regulatory frameworks, confidentiality and data protection, access, connectivity, data quality and ownership of the data. [read post]
13 Jun 2022, 9:14 am
More Claimants Accuse Broker Yoko Farias of Overconcentration In Obscure, Offshore Investment An older couple from Japan has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim requesting between $500K and $1M in financial recovery over losses sustained in Northstar Financial Services (Bermuda). [read post]
13 Jun 2022, 7:26 am
” The ABA acknowledged that CRA compliance issues are appropriate considerations in bank merger applications, but that the prudential regulatory agencies are already assigned authority under the Bank Merger Act to evaluate such issues. [read post]
10 Jun 2022, 7:28 am
In July 2021, claimants filed a Financial Industry Regulatory Authority (FINRA) arbitration claim for $250K in damages. [read post]
9 Jun 2022, 9:30 pm
The President invoked the Defense Production Act to authorize the U.S. [read post]
8 Jun 2022, 9:01 pm
Right now, while the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) have rules on best execution, the SEC does not.[12] These FINRA and MSRB rules require broker-dealers to exercise reasonable diligence to execute customer orders in the best market so that their customers receive the most favorable prices under prevailing market conditions. [read post]
8 Jun 2022, 6:17 am
Nelson, J.D.The presumed purpose of the Lummis-Gillibrand Responsible Financial Innovation Act, sponsored by its namesakes, Sens. [read post]
8 Jun 2022, 5:01 am
It’s on the express lane to regulatory headaches and industry confusion. [read post]
