Search for: "Financial Industry Regulatory Authority"
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25 Jun 2017, 7:40 am
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the ninth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
14 Dec 2021, 10:00 pm
Among other things, the proposal increases the Financial Industry Regulatory Authority’s ability to look into the activities of non-broker-dealers, including the potential for near-real-time access to a market participant’s entire portfolio holdings of securities. [read post]
25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
10 Jun 2023, 1:23 pm
The Financial Industry Regulatory Authority Inc. filed the proposals with the Securities and Exchange Commission last year. [read post]
17 Jun 2023, 2:03 am
March 2, 2023 Practices: Asset Management The Financial Industry Regulatory Authority Inc. [read post]
15 Sep 2021, 10:00 pm
Following the US Securities and Exchange Commission's recent settlement with Murchinson over allegations the investment adviser caused a hedge fund to act as an unregistered dealer, hedge funds should reassess their trading practices to avoid triggering SEC and Financial Industry Regulatory Authority dealer registration requirements, write partners Ignacio Sandoval and Steven Stone in an article published by Law360. [read post]
16 Jun 2023, 5:04 am
The Financial Industry Regulatory Authority (Finra) has fined five wealth management firms a combined $185,000 for various violations of Regulation Best Interest (Reg BI) and Customer Relationship Summary (CRS) rules. [read post]
8 Jul 2008, 5:51 pm
FINRA (the Financial Industry Regulatory Authority) has issued its publication, "Improving Examination Results" to highlight "examination priorities". [read post]
28 Mar 2011, 1:20 pm
The Financial Industry Regulatory Authority (FINRA) administers arbitration proceedings to resolve disputes between its member brokerage firms and investors. [read post]
6 Jan 2018, 12:06 pm
An Open Letter to the Financial Industry Regulatory Authority Board of Governors:Chairman and Public Governor: William H. [read post]
13 Jun 2023, 11:42 am
The Financial Industry Regulatory Authority Inc. last week fined Charles Schwab & Co. [read post]
3 Jun 2023, 5:22 pm
A unanimous three-person Financial Industry Regulatory Authority Inc. arbitration panel ordered Oppenheimer to pay $1,483,670 in compensatory damages to two investors, Bruce Cullen Sr. and Rosemarie Cullen, according to the March 2 [...] [read post]
17 Jun 2023, 2:19 am
[1/2] Signage is seen outside of the Financial Industry Regulatory Authority (FINRA) offices in Manhattan, New York City, U.S., September 11, 2020. [read post]
3 Mar 2010, 6:39 am
Financial Industry Regulatory Authority (FINRA) Trade Reporting and Compliance Engine (TRACE) will now include debt issued by federal government agencies, government corporations and government-sponsored enterprises as well as primary market transactions in new corporate debt issues. [read post]
7 Jun 2023, 5:58 pm
The Financial Industry Regulatory Authority Inc. is investigating Daniel T. [read post]
21 Sep 2020, 10:05 am
The Massachusetts Superior Court, Business Litigation Session, recently denied a broker-dealer’s motion to vacate a Financial Industry Regulatory Authority (FINRA) arbitration award requiring it to pay attorneys’ fees to its former employees, holding that the parties’ mutual request for attorneys’ fees in an arbitration can provide the requisite legal basis for an award of attorneys’ fees. [read post]
17 Jul 2012, 2:14 pm
A new Financial Industry Regulatory Authority (FINRA) rule (Rule 2111) significantly broadens stockbroker duties owed to customers. [read post]
3 Apr 2017, 12:36 pm
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the ninth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
24 Oct 2008, 10:55 am
The Financial Industry Regulatory Authority said it was taking 'an extra close look' at the situation. [read post]
14 Jun 2023, 9:03 am
The Financial Industry Regulatory Authority underscored once again on Tuesday the compliance dangers that lurk for branch managers at brokerages. [read post]
