Search for: "Financial Industry Regulatory Authority"
Results 1761 - 1780
of 11,221
Sort by Relevance
|
Sort by Date
18 Apr 2022, 9:48 am
FINRA releases FAQ on Rule 4111, Restricted Firm Rule The Financial Industry Regulatory Authority has released frequently asked questions (FAQ) guidance on Rule 4111, according to an article in Think Advisor this week. [read post]
18 Apr 2022, 8:11 am
The opioid manufacturer Purdue Pharma, beleaguered and in financial trouble, wanted to revamp its business, and an executive there sought out Dr. [read post]
18 Apr 2022, 7:24 am
FINRA Censures and Fines IBN Financial Services for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on April 14, the regulator has censured and fined IBN Financial Services $45,000 and ordered the firm to pay partial restitution of $32,385, plus interest. [read post]
15 Apr 2022, 11:46 pm
John Berlau from USA Today has warned that regulatory agencies must be careful not to exceed their authority conferred by Congress. [read post]
15 Apr 2022, 12:54 pm
YES Claimants’ FINRA Arbitration Case Alleged Misrepresentations and Negligence A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $1.2M (plus 6% interest from June 28, 2019, through March 7, 2022) over losses they sustained in the UBS Yield Enhancement Strategy (UBS YES). [read post]
15 Apr 2022, 4:00 am
The effort is part of an emerging national strategy by the industry, in the absence of comprehensive federal regulatory demands, to work state by state to engineer a more friendly legal system. [read post]
14 Apr 2022, 1:35 pm
This retail customer has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim requesting damages for his losses. [read post]
13 Apr 2022, 9:04 pm
It is also providing financial and technical support to small firms to build capability. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 1:34 pm
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
12 Apr 2022, 5:01 am
Some observers have also criticized TSA and CISA for promulgating directives under emergency authority, which allowed them to forgo industry input through the traditional process of rulemaking. [read post]
11 Apr 2022, 8:36 am
It provides a platform for discussion between the authorities and businesses about, among other issues, the regulatory treatment of innovative products, services and business models. [read post]
11 Apr 2022, 7:27 am
Further, the Associated Builders & Contractors has argued that EO 14063 will exacerbate the serious skilled labor shortage in the construction industry, which was approximately 430,000 workers in 2021 and may be as high as 650,000 in 2022. [read post]
11 Apr 2022, 3:00 am
Global VIP and Global Advantage Select Were Unsuitable For Claimants Two older investors from Venezuela have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Ocean Financial Services over losses they sustained in Northstar Financial Services (Bermuda). [read post]
8 Apr 2022, 9:03 pm
Those sent by April 30 will be looked at to select up to 25 experts and industry specialists. [read post]
