Search for: "Financial Industry Regulatory Authority"
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11 May 2022, 9:01 pm
When I first appeared before this group, as Chair of the Commodity Futures Trading Commission (CFTC), Washington was still developing the regulatory response to the 2008 financial crisis. [read post]
11 May 2022, 9:25 am
Berthel Fisher & Co Accused of Supervisory and Compliance Issues Involving a Customer The Financial Industry Regulatory Authority (FINRA) announced that Berthel Fisher & Co. had been ordered to pay a $100K fine. [read post]
11 May 2022, 7:07 am
Newport Coast was expelled by the Financial Industry Regulatory Authority (FINRA) in 2018. [read post]
10 May 2022, 9:01 pm
The California Department of Financial Protection and Innovation, California’s principal financial regulator, is required to engage in a public process to develop a comprehensive regulatory approach to crypto assets that is consistent with the direction of federal regulations and guidance. [read post]
10 May 2022, 10:49 am
Broker Kevin Mark Nevin, a previously registered broker and investment advisor, has been barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or other associating with any broker-dealer firm. [read post]
10 May 2022, 7:02 am
Torch Securities LLC Censured and Fined for Supervisory Issues in Connection with Private Placement offerings According to a document posted this week by the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Torch Securities LLC (CRD No. 133642) $17,500 for supervisory issues. [read post]
9 May 2022, 8:23 am
So take, for example, the auto industry. [read post]
9 May 2022, 2:00 am
They agreed, however, arbitrators would resolve the dispute because his employment fell within the ambit of the Financial Industry Regulatory Authority (FINRA). [read post]
6 May 2022, 12:19 pm
Malecki, commented on two matters going on at the Financial Industry Regulatory Authority (FINRA). [read post]
6 May 2022, 9:18 am
In November 2021, with a starting date of March 3, 2022, the Financial Industry Regulatory Authority (FINRA) permanently barred Fortner after he did not respond to requests for information into its investigation. [read post]
6 May 2022, 9:14 am
The Consumer Financial Protection Bureau (CFPB) rule would allow consumers to easily share their financial data with third-parties. [read post]
6 May 2022, 8:10 am
Furthermore, competing regulatory frameworks and legal grey zones can lead to security researchers facing gagging orders, fines, or even imprisonment. [read post]
6 May 2022, 7:30 am
The Reserve Bank of India (“RBI”) delegates much of its regulatory responsibilities for ECB activity to commercial banks that hold an ‘Authorised Dealer’ status. [read post]
5 May 2022, 1:46 pm
Megan Ma, CodeX Residential Fellow NOTE ON THE DISCUSSION PAPERS: The CodeX Insurance Initiative has invited leaders from industry, academia, and the regulatory community to contribute short papers describing the authors’ views on important issues relating to the application of computable contracting in the insurance industry. [read post]
5 May 2022, 12:32 pm
As we reported last year, the Financial Industry Regulatory Authority (FINRA) barred Belardino after he failed to provide information in its investigation into allegations of excessive levels of trading, among others. [read post]
5 May 2022, 8:37 am
The goal will be to expose students to emerging opportunities, power emerging industries, and help ensure economic benefits are experienced equitably. [read post]
4 May 2022, 9:01 pm
In addition, the Financial Industry Regulatory Authority, Inc. [read post]
4 May 2022, 8:47 am
FINRA Reportedly Suspends and Fines Broker Christopher Passero of Money Concepts Capital The Financial Industry Regulatory Authority (FINRA) has reportedly suspended Christopher Passero (CRD # 25176810) from the securities industry for three months and fined him $10,000, according to a Letter of Acceptance Waiver and Consent on April 11, 2022. [read post]
3 May 2022, 9:01 am
FINRA Reportedly Bars Edward Jones Broker John Winslow after Allegations of Receiving Funds from a Client The Financial Industry Regulatory Authority (FINRA) has reportedly barred broker John Scott Winslow (CRD#: 3071933) on April 12, 2022 from the securities industry after allegations that he failed to disclose to his member firm that he received funds from a client. [read post]
2 May 2022, 2:12 pm
Stamer helps health industry and other organizations and their management manage. [read post]
