Search for: "Securities and Financial Markets Association" Results 81 - 100 of 7,824
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4 Apr 2018, 3:19 am by Simon Lovegrove
On 3 April 2018, the Global Financial Markets Association (GFMA) published A Framework for the Regulatory Use of Penetration Testing in the Financial Services Industry. [read post]
21 Apr 2019, 7:16 am by ccollins
Baird, Citigroup Global Markets (C), Lehman Brothers, and Centennial Securities. [read post]
19 May 2017, 8:27 am by Jay Salamon
The post Securities Law Cases Against Dawn Bennett appeared first on Stock Market Loss. [read post]
7 Jan 2014, 11:38 pm by Kevin LaCroix
As Justice Ginsburg put it in her majority opinion in the Supreme Court’s 2013 Amgen decision, “the fraud-on-the-market premise is that the price of a security traded on an efficient market will reflect all of the publicly available information about a company; accordingly, a buyer of the security may be presumed to have relied on the information in purchasing the security. [read post]
1 Mar 2011, 8:40 am by James Hamilton
SEC-registered investment companies, ERISA plans and funds regulated under the EU UCITS Directive should not be regulated as major swap participants and major security-based swap participants under SEC and CFTC rules implementing the Dodd-Frank derivatives provisions, in the view of the Securities Industry and Financial Markets Association. [read post]
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
14 Nov 2017, 3:37 pm by Christopher J. Gray
Lowi was most recently associated with RBC Capital Markets, LLC (“RBC”) (CRD# 31194) (2009-2015), and most recently, Janney Montgomery Scott LLC (“Janney Montgomery”) (CRD# 463) (2015-2016). [read post]
19 Jan 2021, 8:16 am by Staff Attorney
Hanaur & Company, Smith Barney Inc., Citigroup Global Markets Inc., Wells Fargo Clearing Services LLC and is currently working for Raymond James & Associates, Inc. [read post]
16 Feb 2022, 12:32 pm by Malecki Law Team
  For the last 35 years, retail investors seeking recovery of stock market investment losses have had no other choice but to arbitrate their disputes at the Financial Industry Regulatory Authority (FINRA). [read post]
6 Apr 2011, 11:28 am
Wachovia Capital Markets retained those securities in its CDO syndicate deskandrsquo;s inventory and marked them at 52.7 on the companyandrsquo;s books and records for purposes of financial reporting in accordance with generally accepted accounting principles (andquot;GAAPandquot;) (preferred share prices referenced herein are represented as percentages of par). [read post]
11 May 2018, 7:22 am by admin
” Contact the securities lawyers at McCarthy, Lebit, Crystal, & Liffman Co., L.P.A. for a free initial evaluation of your situation. [read post]
27 Apr 2015, 11:37 am by Adam Nicolazzo
In what appears to be another example of broker-dealers continuing to ensure that the wrong speculative securities are sold to the wrong investors, the Financial Industry Regulatory Authority (FINRA) announced in a News Release on April 23, 2015 that RBC Capital Markets, LLC was fined approximately $1 million and ordered to pay restitution of approximately $400,000 for the firm’s failure to supervise the unsuitable sale of reverse convertible securities… [read post]
18 May 2012, 5:13 pm by James Hamilton
In a letter to the SEC, the Securities Industry and Financial Markets Association (SIFMA) posited that, whether or not a subsidiary of a private company contemplating an IPO has previously issued debt or equity should not affect its ability to enjoy the benefits of the JOBS Act. [read post]
29 Jul 2009, 9:10 am
The Securities Industry and Financial Markets Association, an important Wall Street lobbying group, has decided to support the Obama administration's proposal to hold brokers to the same standard as a fiduciary when they provide investment advice, according to a recent report in The Wall Street Journal. [read post]
28 Aug 2017, 6:02 am
The Second Circuit recently considered the extraterritorial application of the U.S. securities laws in the private securities class action context, bringing some clarity to an area of the law that is increasingly important given the globalization of financial markets. [read post]
2 Apr 2020, 4:14 pm by John Jascob
The historic legislation was assembled against a backdrop of financial industry associations and self-regulatory organization imploring federal regulators to keep the financial markets open, warning of the devasting consequences for the economy if they were closed. [read post]
25 Oct 2018, 10:49 am by Scott H. Kimpel
Co-panelists included Alan Cohn, formerly of the Department of Homeland Security and Daniel Alter, former general counsel of the New York Department of Financial Services. [read post]
17 Feb 2012, 8:25 am by Anita Anand
The recent (and arguably ongoing) financial crisis underscores how financial contagion can spread from securities markets to financial institutions and back again, threatening the integrity of the entire economy. [read post]
25 May 2018, 6:11 am
In April, eight organizations—the American Securities Association, Biotechnology Innovation Organization, Equity Dealers of America, Nasdaq, National Venture Capital Association, Securities Industry and Financial Markets Association, TechNet, and U.S. [read post]
31 Jan 2010, 9:18 pm
According to Securities and Exchange Commission Chairman Mary Schapiro, the agency is dealing with a number of credit crisis-related issues associated with money market mutual funds, asset-backed securities, and credit ratings. [read post]