Works matching DE "FINANCIAL Industry Regulatory Authority"
Results: 110
Self-Regulation for the Mortgage Industry.
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- University of Chicago Legal Forum, 2013, p. 229
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- Article
DEATH OF A SALESMAN: THE RISE & UNFORTUNATE POTENTIAL DEMISE OF THE FULL-TIME LIFE INSURANCE SALESMAN.
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- St. John's Law Review, 2014, v. 88, n. 4, p. 985
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- Article
BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA'S PROPOSAL TO MODIFY THE "BANK BROKER-DEALER RULE.".
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- Albany Law Review, 2010, v. 73, n. 2, p. 465
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A SECURITY BY ANY OTHER NAME: AN INQUIRY INTO STAKING AGREEMENTS AS SECURITIES.
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- UNLV Gaming Law Journal, 2019, v. 9, n. 2, p. 201
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- Article
Regulatory leadership in struggling – the US path in robo-advisors governance.
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- Law & Financial Markets Review, 2023, v. 17, n. 2, p. 116, doi. 10.1080/17521440.2024.2313473
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WINNING, DEFINED? TEXT-MINING ARBITRATION DECISIONS.
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- Cardozo Law Review, 2021, v. 42, n. 5, p. 1695
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- Article
BECOMING A FIFTH BRANCH.
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- Cornell Law Review, 2013, v. 99, n. 1, p. 1
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Robinhood or Sheriff of Nottingham?
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- Journal of Critical Incidents, 2021, v. 14, p. 32
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- Article
Why Do Dealers Buy High and Sell Low? An Analysis of Persistent Crossing in Extremely Segmented Markets.
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- Review of Finance, 2017, v. 21, n. 2, p. 719, doi. 10.1093/rof/rfw033
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Evaluating the Anti-Corruption Factor in Environmental, Social, and Governance Indices by Sampling Large Financial Asset Management Firms.
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- Sustainability (2071-1050), 2024, v. 16, n. 23, p. 10240, doi. 10.3390/su162310240
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Drivers of Value Creation and the Effect of ESG Risk Rating on Investor Perceptions through Financial Metrics.
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- Sustainability (2071-1050), 2024, v. 16, n. 13, p. 5347, doi. 10.3390/su16135347
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- Article
A US Perspective on Equivalence.
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- European Business Organization Law Review, 2024, v. 25, n. 1, p. 49, doi. 10.1007/s40804-023-00305-2
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- Article
What Is a "Recommendation" Under the Department of Labor's Fiduciary Rule? Lessons From FINRA.
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- Journal of Taxation & Regulation of Financial Institutions, 2017, v. 31, n. 1, p. 15
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PRESIDENT'S PAGE.
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- Kentucky Libraries, 2011, v. 75, n. 1, p. 2
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Privatizing Personalized Law.
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- University of Chicago Law Review, 2019, v. 86, n. 2, p. 551
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- Article
Regulating Information Disclosure in Mutual Fund Advertising in the United States: Will Consumers Utilize Cost Information?
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- Journal of Consumer Policy, 2009, v. 32, n. 4, p. 333, doi. 10.1007/s10603-009-9107-8
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- Article
Examining U.S. Millennial Retirement Plan Participation Decisions: The Roles of Employer Contributions and Automatic Enrollment.
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- Journal of Risk & Financial Management, 2024, v. 17, n. 2, p. 52, doi. 10.3390/jrfm17020052
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- Article
BRINGING SECTION 7 INTO THE NEXT CENTURY.
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- American University Business Law Review, 2025, v. 14, n. 2, p. 659
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- Article
ADDING A DATA DISCLOSURE REQUIREMENT TO THE FAA: AN OVERDUE REFORM.
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- American University Business Law Review, 2025, v. 14, n. 2, p. 577
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- Article
"SOMETHING CALLED THE 'MUNICIPAL SECURITIES RULEMAKING BOARD'": UNEXAMINED ISSUES OF CONSTITUTIONALITY.
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- American University Business Law Review, 2019, v. 8, n. 1, p. 23
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- Article
The Case of the Dozing Decider: Tips for Dealing with a Napping Neutral.
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- ABA Journal of Labor & Employment Law, 2021, v. 35, n. 3, p. 449
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- Article
Do Your Clients Know Their Rights Regarding Brokerage Account losses?
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- Utah Bar Journal, 2013, v. 26, n. 3, p. 38
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An Exploration of Overconfidence in the Utilization of Financial Advisors.
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- Journal of Personal Finance, 2019, v. 18, n. 2, p. 39
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- Article
Arbitration in the United States under the Financial Industry Regulatory Authority.
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- Arbitration International, 2015, v. 31, n. 3, p. 465, doi. 10.1093/arbint/aiv009
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- Article
Association rules forecasting for the foreign exchange market.
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- International Journal of Electrical & Computer Engineering (2088-8708), 2024, v. 14, n. 3, p. 3443, doi. 10.11591/ijece.v14i3.pp3443-3454
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- Article
Investor Confidence and Reaction to a Stock Market Crash.
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- Journal of Behavioral Finance, 2024, v. 25, n. 3, p. 374, doi. 10.1080/15427560.2023.2178434
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- Article
Financial Services ADR: What the United States Could Learn From South Africa.
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- Cornell International Law Journal, 2014, v. 47, n. 1, p. 145
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- Article
"WHAT I PERCEIVE TO BE TRUE I BELIEVE TO BE TRUE": RETAIL INVESTORS PERCEPTIONS CONCERNING SECURITIES ARBITRATION AND HOW TO CORRECT THEM.
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- Dispute Resolution Journal, 2014, v. 69, n. 2, p. 67
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- Article
THE ARBITRATION OF EMPLOYMENT DISCRIMINATION CASES IN THE SECURITIES INDUSTRY.
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- Dispute Resolution Journal, 2013, v. 68, n. 1, p. 97
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- Article
New FINRA Pilot Program for Large Cases.
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- Dispute Resolution Journal, 2012, v. 67, n. 3, p. 6
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- Article
Manifest Disregard After Hall Street.
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- Dispute Resolution Journal, 2012, v. 67, n. 2, p. 88
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SEC Approves Two New FINRA Rules.
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- Dispute Resolution Journal, 2012, v. 67, n. 2, p. 6
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- Article
Cert. Petition Filed in FINRA Case.
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- Dispute Resolution Journal, 2012, v. 67, n. 1, p. 5
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- Article
New Discovery Guide and Reply Rule.
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- Dispute Resolution Journal, 2011, v. 66, n. 2, p. 7
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- Article
FINRA Offers All-Public Arbitrator Panel.
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- Dispute Resolution Journal, 2011, v. 66, n. 1, p. 7
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- Article
THE EFFECTS OF THE GLOBAL FINANCIAL CRISIS ON EMPLOYMENT ARBITRATION: EVIDENCE FROM THE SECURITIES INDUSTRY DISCRIMINATION COMPLAINTS.
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- Journal of Dispute Resolution, 2022, v. 2022, n. 1, p. 1
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- Article
VIII. Robinhood IPO: Continued Regulatory Issues After Going Public.
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- Review of Banking & Financial Law, 2021, v. 41, n. 1, p. 99
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- Article
IV. Gamify This: FINRA and the SEC's Decision on Gamification Looms Large.
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- Review of Banking & Financial Law, 2021, v. 41, n. 1, p. 45
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- Article
II. To the Moon: Finfluencers, Meme Stocks, and Regulatory Response.
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- Review of Banking & Financial Law, 2021, v. 41, n. 1, p. 16
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- Article
Misbehaving Bankers: Desperate Analysts, FINRA Fines, and the Toys'R'Us IPO.
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- Review of Banking & Financial Law, 2015, v. 34, n. 2, p. 416
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- Article
Bid-Ask Spreads, Trading Networks, and the Pricing of Securitizations.
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- Review of Financial Studies, 2017, v. 30, n. 9, p. 3048, doi. 10.1093/rfs/hhx027
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- Article
Life Insurance in Retirement Planning.
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- Journal of Retirement Planning, 2008, v. 11, n. 6, p. 5
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- Article
Inability to Pay Award.
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- Dispute Resolution Journal, 2010, v. 65, n. 2/3, p. 7
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- Article
The Arbitration of Employment Disputes in the Securities Industry: A Study of FINRA Awards, 1986-2008.
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- Dispute Resolution Journal, 2010, v. 65, n. 1, p. 12
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- Article
FINRA Panel Awards Elderly Investor Treble Damages under Financial Elder Abuse Law.
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- Dispute Resolution Journal, 2010, v. 65, n. 1, p. 8
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- Article
FINRA Extends Public Arbitrator Pilot.
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- Dispute Resolution Journal, 2009, v. 64, n. 4, p. 6
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- Article
Financial Literacy and Emergency Saving.
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- Journal of Family & Economic Issues, 2014, v. 35, n. 1, p. 40, doi. 10.1007/s10834-013-9369-9
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- Article
Is FINRA a State Actor? A Question that Exposes the Flaws of the State Action Doctrine and Suggests a Way to Redeem It.
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- Vanderbilt Law Review, 2014, v. 67, n. 4, p. 1173
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- Article
ANOTHER MADOFF MASQUERADE?: QUESTIONING "SECURITIES FRAUD" IN THE CRIME AND ITS CLEANUP.
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- St. Louis University Law Journal, 2012, v. 56, n. 2, p. 521
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- Article
PLEASE BE DELICATE WITH MY PERMANENT RECORD: THE PENDULUM INCHES TOWARDS ABSOLUTE PRIVILEGE IN MERKAM v. WACHOVIA.
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- Villanova Law Review, 2013, v. 58, n. 2, p. 211
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- Article