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About 835 results for "financial industry regulatory authority"

Wall Street watchdog to pick insider as arbitration head: Source

The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials. The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two ... Economic Times, 1 month ago

12 images for financial industry regulatory authority

JD Supra, 3 days ago
Inside Counsel, 2 weeks ago
Savannah Morning News, 3 days ago
Colorado Springs Gazette, 3 weeks ago
International Business Times UK, 22 hours ago
Skokie Review, 2 weeks ago
prnewswire.com, 3 weeks ago
Botswana Voice, 2 weeks ago
Captive Insurance Times, 2 weeks ago
Channel Times, 2 weeks ago

Financial Fraud Schemes Victimizing Elders and Senior Citizens

The Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the North American Securities Administrators Association (NASAA) have identified several products and practices that make regular appearances in fraud ...
 HG.org5 hours ago

Financial Industry Regulatory Authority (FINRA) Proposes Rule Strengthening Background Checks

Daniel L. Saperstein is an Associate in the Labor & Employment Law Department, resident in the Newark office. He is a member of the Employment Litigation & Arbitration, Labor-Management Relations, Employment Law Counseling & Training, International ...
 National Law Review1 day ago

FINRA Proposes to Revise Implementation Date for Supplemental Inventory Schedule

On October 10, the Financial Industry Regulatory Authority, Inc. proposed a rule change to revise the implementation date for the Supplemental Inventory Schedule (SIS) approved in SR-FINRA-2014-025. The due date for the first SIS, which will ...
 JD Supra1 day ago
Forbes.com

U.S. regulators get guide to lift trade execution disclosure

(Reuters) - Three associations representing the U.S. financial services industry sent securities regulators on Thursday a template for improving the disclosure to institutional investors of how and where their orders are routed, a hot topic on Wall ...
 Reuters6 hours ago U.S. regulators get template for better order routing disclosure  Yahoo! Finance11 hours ago FINRA's Proposed Regulatory Overhaul: Is It The Future Or 'Minority Report'?  Forbes.com18 hours ago UPDATE 1-U.S. regulators get guide to lift trade execution disclosure  Reuters6 hours ago

SIX Financial Information services Hong Kong investors with SFC authorized investment products data

SIX Financial Information is expanding its vast regulatory coverage to include the Securities and Futures Commission (SFC) authorized products for Hong Kong clients. In recognizing the great challenge that the industry is facing and given the ...
 Bobsguide1 day ago

Advance Notice of Proposed Rulemaking Regarding Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies

In November 2010, NAMIC filed comments with the Treasury Secretary as Chair of FSOC, detailing how the property/casualty industry poses virtually no systemic risk to the U.S. economy. NAMIC urged the FSOC to recognize the level and quality of ...
 NAMIC Online1 day ago
Business Today India

IRDA's marketing firm to hit brokers: Experts

The Indian insurance industry is expecting the regulator to come out with its regulations allowing new breed of intermediaries -Insurance Marketing Firm (IMF)- that would make corporate agents and brokers unhappy, said industry officials. "We are ...
 Business Today India4 hours ago IRDA's marketing firm to make insurance brokers unhappy: Experts  ProKerala.com18 hours ago IRDAs marketing firm to make insurance brokers unhappy Experts  New Delhi News.Net15 hours ago Paperless insurance may gain traction  Rediff.com2 months ago
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Wall Street watchdog, US states mull new system to clean up brokers' records

(Reuters) - Wall Street's industry-funded watchdog and U.S. state securities regulators are considering whether to develop a new type of regulatory process for brokers to follow for erasing complaints from their public records, an official said on ...
 Reuters10 hours ago

Biotage Appoints Nomination Committee and Publishes Financial Calendar 2014 and 2015

UPPSALA, Sweden--(BUSINESS WIRE)-- Regulatory News: A Nomination Committee consisting of shareholder representatives and the Chairman of the Board of Directors has been formed for Biotage AB (STO:BIOTA). The Nomination Committee shall, ...
 Yahoo! Finance23 hours ago
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