Search for: "Financial Industry Regulatory Authority"
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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]
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]
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]
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]
14 Dec 2021, 9:00 am
FINRA Sanctions Wells Fargo and four other BDs for excessive sales charges According to The Financial Industry Regulatory Authority on December 13, the regulator has reached settlements with Wells Fargo and four other broker-dealers and obtained more than $16.8 million in restitution to approximately 10,000 investors for the firms’ failures to reasonably supervise early rollovers of unit investment… [read post]
13 Dec 2021, 12:38 pm
Wednesday, Dec. 15, 2021, at 10:00 a.m.: The Senate Banking, Housing, and Urban Affairs Committee will hold a hearing analyzing disaster recovery assistance, focusing on authorizing the Community Development Block Grant. [read post]
13 Dec 2021, 7:30 am
Morgan Securities Broker, Ed Turley, and Wins $4 Million FINRA Arbitration Award A Financial Industry Regulatory Authority (FINRA) arbitration panel in Houston, Texas has awarded a client of Shepherd, Smith, Edwards & Kantas (SSEK Law Firm at investorlawyers.com) $4 million in compensatory damages over losses she sustained while working with ex-J.P. [read post]
12 Dec 2021, 6:47 am
The authors argue in the abstract as follows:Abstract: Recent legislative efforts to address modern slavery emphasise corporate disclosure as the primary regulatory tool. [read post]
10 Dec 2021, 3:42 pm
Under the rules of the Financial Industry Regulatory Authority (FINRA), brokerage firms must notate all solicited transactions as such on investors’ trade confirmations. [read post]
10 Dec 2021, 7:27 am
Duties include: (1) Representing the tribe’s interests before Federal, State, Tribal, and Local elected officials and other stakeholders; (2) Communicating with elected officials and working to foster positive community relations between the tribe and the general public; (3) Tracking and analyzing Federal, State, and Local legislative and regulatory activities impacting tribal interests; (4) Monitoring / reviewing policies, regulations, and guidelines concerning tribal government; and… [read post]
9 Dec 2021, 12:42 pm
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
9 Dec 2021, 11:41 am
The Financial Industry Regulatory Authority (FINRA) has a rule in place prohibiting a broker from borrowing or lending money to customers in most instances. [read post]
9 Dec 2021, 9:03 am
The small brokerage firm has now collapsed amid reports of many unpaid Financial Industry Regulatory Authority (FINRA) awards to harmed investors. [read post]
8 Dec 2021, 11:27 am
Financial Reports. [read post]
8 Dec 2021, 7:27 am
Financial Reports. [read post]
7 Dec 2021, 9:05 pm
Banking industry deregulation through the 1994 Riegle-Neal Interstate Banking and Branching Efficiency Act led to a similar result, as “too big to fail” nationwide banks replaced smaller financial institutions, along with their local economic benefits. [read post]
7 Dec 2021, 9:21 am
Ex-El Paso Financial Advisor Allegedly Took Over $61K From Client Credit Line On November 29, 2021, the Financial Industry Regulatory Authority (FINRA) barred Jesus Rodriguez. [read post]
6 Dec 2021, 1:00 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
6 Dec 2021, 8:07 am
Because of uncertainties about the facts and circumstances of the underlying conduct, consent orders cannot clearly communicate the Bureau’s regulatory expectations to industry. [read post]
3 Dec 2021, 3:34 pm
The Financial Industry Regulatory Authority (FINRA) is a quasi-governmental authority that works alongside the U.S. [read post]
