Search for: "Financial Industry Regulatory Authority"
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7 Jun 2022, 9:01 pm
The criteria for “liquidity robustness” will be determined by the Commission through Level 2 regulatory technical standards. [read post]
6 Jun 2022, 4:27 pm
Hsu believes these standards are underdeveloped given the size, scope, and ambitions of the industry. [read post]
6 Jun 2022, 7:06 am
Exporters must pay attention to changes in the regulatory framework and seek guidance from BIS if they do not understand new rules. [read post]
6 Jun 2022, 6:53 am
* The author would like to thank Summer Associate Melanie N. [read post]
6 Jun 2022, 6:18 am
Are there any aspects of climate-related financial risk related to digital assets that the Commission should address within its statutory authority? [read post]
5 Jun 2022, 9:01 pm
Among other examples, there are popular decentralized applications for collateralized lending and even more sophisticated financial applications. [read post]
5 Jun 2022, 5:48 pm
See Centre for Strategy and Evaluation Services, “Impact Evaluation of SRA’s Regulatory Reform Programme: A Final Report for the Solicitors Regulatory Authority,” April 2018. [read post]
3 Jun 2022, 10:40 am
Former Spartan Capital Securities Broker Accused of Unauthorized Trading The Financial Industry Regulatory Authority (FINRA) has barred ex-Spartan Capital Securities registered representative Marc Augustus Reda. [read post]
3 Jun 2022, 6:49 am
Analysts expect the regulatory environment to be less stringent and more friendly to the tech sector in 2022. [read post]
2 Jun 2022, 6:24 am
Ex-Cetera Investment Services Broker Xinxin Lu May Have Overconcentrated Couple’s Account in Obscure, Offshore Investment Our seasoned securities lawyers have filed a Financial Industry Regulatory Authority (FINRA) arbitration case against Cetera Investment Services on behalf of two Chinese investors. [read post]
1 Jun 2022, 1:32 pm
Morgan Stanley, Ex-FA Ordered to Pay $330K Over Elder Abuse Allegations According to a FINRA Award posted this week, a Financial Industry Regulatory Authority arbitration panel has ordered Morgan Stanley and former financial advisor, Francisco Valenzuela, to pay $330,000 over allegations of elder abuse and other violations. [read post]
1 Jun 2022, 9:16 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
31 May 2022, 2:51 pm
Priority is to be given to advanced manufacturing and materials, aerospace and aviation, life sciences, agriculture and agbioscience, the automotive industry including low emissions technology, energy and infrastructure. [read post]
30 May 2022, 9:04 pm
Products and services such as BDCI are precisely the type of activity necessary to begin repairing deeply embedded racial inequities, and CDFIs are currently leading the financial services industry to demonstrate the value and impact of such programs. [read post]
27 May 2022, 12:40 pm
Francis Amsler and Marc Lobarde Were the UBS Financial Brokers of Record A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a Houston, Texas, couple $3.9 million in their claim against UBS Financial Services (UBS). [read post]
27 May 2022, 5:01 am
However, different clients have substantially different service needs deriving from their threat and regulatory environments. [read post]
25 May 2022, 6:58 am
Claimant Says He Was Never Apprised of the Risks Involved in GWG ‘Junk’ L Bonds A retired Missouri worker has filed a six-figure Financial Industry Regulatory Authority (FINRA) arbitration claim against Titan Securities and its broker, Rodger Sprouse, over losses sustained in GWG L Bonds. [read post]
25 May 2022, 3:58 am
The listings expose Airbnb to regulatory risk under U.S. law. [read post]
24 May 2022, 9:01 pm
The Fifth Circuit’s decision may have broad implications for other agencies beyond the SEC such as the Federal Trade Commission, the Consumer Financial Protection Bureau, and the Federal Energy Regulatory Commission, which often bring enforcement actions in administrative proceedings overseen by ALJs. [read post]
24 May 2022, 11:36 am
Japanese Couple Files FINRA Arbitration Case for Up to $500K in Damages Two older investors from Japan have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Bankoh Investment Services and its broker Yoko K. [read post]
