Search for: "Financial Industry Regulatory Authority"
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2 May 2022, 1:59 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
1 May 2022, 4:30 pm
The Financial Times, TechCrunch, Verge, BBC, New York Times and Reuters are just some of the many to publish responses to the news. [read post]
29 Apr 2022, 12:40 pm
In a recent FINRA regulatory settlement, we are presented with full-blown humanity and very little divinity.Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hear... [read post]
29 Apr 2022, 11:10 am
Stamer also shares her thought leadership, experience and advocacy on these and other concerns by her service as a practicing attorney, as well as as an industry, policy management consultant, and policy strategist as well through her leadership participation in professional and civic organizations. [read post]
29 Apr 2022, 10:37 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
28 Apr 2022, 10:52 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
28 Apr 2022, 9:59 am
The firm’s decades of experience representing financial institutions provide us with the industry insight and broad capabilities to help fintech companies innovate and thrive. [read post]
28 Apr 2022, 8:39 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
28 Apr 2022, 8:11 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
28 Apr 2022, 5:01 am
Apple in effect has become a quasi-regulatory body for the apps. [read post]
27 Apr 2022, 9:59 am
Repple & Company involving GWG L Bonds The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
27 Apr 2022, 7:57 am
Censured & Fined for Failure to Supervise Unsuitable Options Trading According to a document posted this week by the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Berthel Fisher & Co. [read post]
27 Apr 2022, 6:23 am
The firm terminated him on 06/15/2021 and has no other employment in the industry. [read post]
26 Apr 2022, 9:01 pm
We had little post-trade transparency in the fixed income markets until two decades ago, when the predecessor to the Financial Industry Regulatory Authority (FINRA) established the Trade Reporting and Compliance Engine (TRACE). [read post]
26 Apr 2022, 1:57 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute.The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
26 Apr 2022, 12:23 pm
Repple & Company involving GWG L Bonds The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
26 Apr 2022, 12:12 pm
Solutions Law Press, Inc. author and publisher Cynthia Marcotte Stamer will moderate the program. [read post]
26 Apr 2022, 11:48 am
Stamer works with these and other businesses and their management, employee benefit plans, insurers, health care and life sciences, governments and other organizations deal with all aspects of health care, human resources and workforce, internal controls and regulatory compliance, change management and other performance and operations management and compliance. [read post]
26 Apr 2022, 8:57 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
26 Apr 2022, 8:46 am
The Consumer Financial Protection Act authorizes the CFPB to supervise any nonbank covered person, regardless of its size, that the CFPB has reasonable cause to determine “is engaging, or has engaged, in conduct that poses risks to consumers with regard to the offering or provision of consumer financial products or services. [read post]
