Search for: "Financial Industry Regulatory Authority"
Results 1881 - 1900
of 11,224
Sort by Relevance
|
Sort by Date
8 Feb 2022, 6:43 am
In the panel discussion on ESG Developments in Financial Markets, Tracey Wingate noted industrywide surveys conducted by the Investment Company Institute and Independent Directors Council (IDC) which drive home the need for greater representation of women and minorities at all levels of the asset management industry. [read post]
7 Feb 2022, 3:58 am
” PBOC and the Shanghai office of the China Banking and Insurance Regulatory Commission were, both, targeted in December. [read post]
5 Feb 2022, 12:03 pm
If So, You Should Discuss Your Legal Rights with an Attorney The Financial Industry Regulatory Authority (FINRA) is a government-authorized organization that oversees securities brokers and brokerage firms in the United States. [read post]
3 Feb 2022, 9:03 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
2 Feb 2022, 5:30 am
Unlike other sectors of the private economy, the tech industry has no precedent or ancestor in the state-run corporations. [read post]
31 Jan 2022, 8:44 am
FINRA Bars Financial Advisor Dennis Ayre after Allegations of Unsuitable Investments According to the Financial Industry Regulatory Authority on January 28, 2022 the regulator has reportedly barred financial advisor Dennis Phillip Ayre (CRD#: 5365176) from the securities industry.Ayre reportedly refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into the suitability of certain… [read post]
31 Jan 2022, 6:59 am
Earlier this month the National Society of Compliance Professionals, a nonprofit membership organization that supports compliance personnel and programs in the financial services industry, published a report entitled “Firm and CCO Liability Framework. [read post]
31 Jan 2022, 6:41 am
He had been in the industry since 1976. [read post]
27 Jan 2022, 9:03 pm
The SEC stated that the amendments to Form PF would increase the Commission’s ability to analyze systemic risks in the financial sector as the private fund industry now manages $11 trillion in assets. [read post]
26 Jan 2022, 10:50 pm
The Financial Industry Regulatory Authority (FINRA) recently took regulatory action against brokerage firm Triad Advisors LLC in connection with sales of the LJM Preservation & Growth Fund. [read post]
26 Jan 2022, 11:04 am
Morgan’s traditional brokerage unit in high-risk equities and junk bonds–without authorization, according to the Financial Industry Regulatory Authority award. [read post]
26 Jan 2022, 9:23 am
The Framework sets out a structure for its members (the FOS, Financial Conduct Authority, Financial Services Compensation Scheme, the Pensions Regulator and the Money and Pensions Service) to collaborate on matters of common interest to achieve a better outcome for consumers, small businesses and the financial services industry, where compatible with members’ independent statutory roles and functions. [read post]
24 Jan 2022, 2:01 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
21 Jan 2022, 11:43 am
According to the Financial Industry Regulatory Authority (FINRA) on January 20, the regulator has sanctioned Credit Suisse Securities, for a number of violations of the customer protection rule over the last 10 years. [read post]
21 Jan 2022, 7:28 am
Xi notably called for regulation and standardization to address regulatory loopholes and prevent “monopolies and disorderly expansion of capital” in the tech industry. [read post]
20 Jan 2022, 9:03 pm
It does not agree that a single agency be designated to coordinate training or act as a single authority” “The Department initiated coordinated educational programs to support its regulatory programs for the control and eradication of salmonellae in chickens and turkeys. [read post]
20 Jan 2022, 5:35 pm
Financial Analytics (30.7104). [read post]
20 Jan 2022, 5:01 am
Additionally, the authors participated in multiple roundtables and working groups on content moderation and transparency over the past few years. [read post]
19 Jan 2022, 2:35 am
Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment, prior to making recommendations to an individual investor. [read post]
18 Jan 2022, 3:29 pm
So why have they gravitated toward the very characteristics that authorities condemn? [read post]
