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About 934 results for "financial industry regulatory authority"

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change...
Insurance News Net

FINRA Continues Investor-Friendly Arbitration Reforms

The Financial Industry Regulatory Authority (FINRA) is submitting rule amendments for SEC approval that would generally make individuals with any past ties to the financial industry ineligible to be considered "public" FINRA arbitrators. Currently, ... JD Supra, 1 week ago

155 images for financial industry regulatory authority

Find Law, 1 month ago
This is Money, 3 weeks ago
Reuters, 1 month ago
RIABiz, 2 days ago
National Real Estate Investor, 6 days ago
CNBC, 2 months ago
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92.9 WLMI, 3 months ago
CNBC, 3 weeks ago
LifeHealthPro, 3 weeks ago

Judge Dismisses Ex-Broker's Privacy Claim Against Regulatory Website

A U.S. judge threw out a lawsuit against the Financial Industry Regulatory Authority (FINRA) by a former broker who alleged that disclosures on the regulator's public database violated his privacy rights. The former broker, Alan Santos-Buch, sued ...
 Insurance Journal2 weeks ago

Financial Regulatory Developments 11 July - Financial Conduct Authority (FCA)

FCA publishes fees for 2014/15: FCA has published its policy statement on regulated fees and levies for 2014/15. Responses to the consultation expressed some strong views: almost all respondents challenged the amount of the increase: FCA has ...
 Lexology1 week ago Fog of uncertainty remains over simplified advice, says Moss week ago FCA seeks input on wholesale financial markets competition review  FX Week1 week ago

FSRA 2013 levies decline by E1.2 million to E15.5m

2013 REPORT: Financial Services Regulatory Authority Registrar Sandile Dlamini. THE Financial Services Regulatory Authority (FSRA) managed to raise about E15.5 million as levies last year. The levies declined by E1.2 million compared with that of ...
 Swazi Observer1 week ago FSC announces plan to relax or revise 700-plus financial regulations  Joins.com2 weeks ago SS&C GlobeOp Depositary "Lite" Service Fully Authorized  Scottrade2 weeks ago SS&C GlobeOp Depositary 'Lite' Service fully Authorized  Noodls2 weeks ago

Wealth industry needs global exposure

Among the unique challenges faced by the wealth management industry are the lack of a robust regulatory authority and $75,000 cap on investments that can be made abroad. “Geographical exposure outside India like in the US property market or the commodities ...
 Asian Age2 months ago

Asia-Pacific countries see significant updates in their governance, risk and compliance frameworks

One of the key regulatory drivers for market activity in Indonesia has been the authorisation of the Indonesian Financial Services Authority (FSA) to regulate and supervise financial sectors. This authorisation, which includes the insurance sector, ...
 companiesandmarkets.com1 week ago
Business Spectator

Sustaining confidence in the Australian financial system: Murray

(FSI) chairman spoke at the following the release of the FSI interim report. "Thank you to the for the interest you have shown in today's release of the interim report of the . Sustaining confidence in the Australian financial system has been ...
 Financial Standard1 week ago Overarching technology strategy needed: Murray financial inquiry  ZDNet1 week ago Financial System Inquiry highlights technology challenge  Business Spectator1 week ago Murray Inquiry report - The Financial System Inquiry interim findings previewed  Banking Day1 week ago

Regulators function as Nawabs: Srikrishna

The financial service providers must assume greater responsibility and care when recommending or selling products and services to consumers, Financial Sector Legislative Reforms Commission (FSLRC) Chairman Justice (retd.) B. N. Srikrishna said here ...
 The Hindu1 week ago
The Star (Kenya)

Ecobank cleared to operate investment banking

ECOBANK Group, the pan-African giant lender, has received regulatory green light from the Capital Markets Authority to run investment banking business in Kenya. The bank said Ecobank Investment Corporation Kenya has been licensed to transact in ...
 The Star (Kenya)1 week ago Kenya: Ecobank Cleared to Operate Investment Banking  AllAfrica.com1 week ago

Murray's Financial System Inquiry draft receives warm welcome from industry

Related Story: Murray's interim financial system report finds super costs are 'high' The financial sector has welcomed David Murray's draft report, which does not rock the boat too much. It is no more than most would have expected from an ...
 ABC Online1 week ago
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