Works matching DE "FINANCIAL Industry Regulatory Authority"
Results: 107
PRESIDENT'S PAGE.
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- Kentucky Libraries, 2011, v. 75, n. 1, p. 2
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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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Financial Knowledge and Best Practice Behavior.
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- Journal of Financial Counseling & Planning, 2011, v. 22, n. 1, p. 60
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The Dark Side of Self-Regulation.
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- University of Cincinnati Law Review, 2017, v. 85, n. 3, p. 573
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PRIVATE PLACEMENTS: WILL FINRA SINK IN THE SEA CHANGE?
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- University of Cincinnati Law Review, 2013, v. 82, n. 2, p. 465
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Self-Regulation for the Mortgage Industry.
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- University of Chicago Legal Forum, 2013, p. 229
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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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The Effects of Regulatory Overload.
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- 2013
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- Opinion
Opacity, Complexity, and Self-Regulation in Investment Banking.
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- George Washington Law Review Arguendo, 2015, v. 83, 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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ARE CENTRALIZED CRYPTOCURRENCY REGULATIONS THE ANSWER? THREE COUNTRIES; THREE DIFFERENT DIRECTIONS.
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- Brooklyn Journal of International Law, 2020, v. 45, n. 2, p. 835
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Home Office Advisers Subject to More Inspections.
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- Journal of Financial Planning, 2024, v. 37, n. 3, p. 19
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- Article
Three Client-Facing Activities Next-Gen Advisers Need to Start Tracking: Developing strong sales skills is a key part of growth.
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- Journal of Financial Planning, 2023, v. 36, n. 9, p. 40
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Understanding the IAR CE Rule.
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- Journal of Financial Planning, 2023, v. 36, n. 9, p. 24
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FINANCIAL LITERACY Is a Worldwide Challenge.
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- Journal of Financial Planning, 2013, v. 26, n. 6, p. 15
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Peering into the Future.
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- Journal of Financial Planning, 2012, v. 25, n. 5, p. 26
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Double the Fun, Double the Cost? ...
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- Journal of Financial Planning, 2012, v. 25, n. 2, p. 12
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- Article
Asking the Wrong Questions of FINRA.
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- Journal of Financial Planning, 2012, v. 25, n. 1, p. 24
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- Article
5 Rules of Social Media Compliance.
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- Journal of Financial Planning, 2011, p. 6
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- Article
Understanding Risk Tolerance to Remain Compliant.
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- Journal of Financial Planning, 2011, v. 24, n. 7, p. 28
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A Cautionary Tale in the SPO Debate.
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- Journal of Financial Planning, 2011, v. 24, n. 5, p. 28
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- Article
STAT BANK.
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- Journal of Financial Planning, 2011, v. 24, n. 3, p. 16
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- Article
Understanding New Amendments to FINRA Rule 2821.
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- Journal of Financial Planning, 2010, p. 14
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Is a Hybrid Model Right for You?
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- Journal of Financial Planning, 2010, p. 10
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- Article
Avoiding Arbitration.
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- Journal of Financial Planning, 2010, p. 6
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Dual Registration: Benefits and Burdens.
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- Journal of Financial Planning, 2009, p. 6
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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
Student Loan Burden, Financial literacy, and Financial Behavior-Evidence From the 2018 FINRA SUJVey.
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- Journal of Accounting & Finance (2158-3625), 2021, v. 21, n. 1, p. 54
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- Article
A NEW TWIST TO AN ON-GOING DEBATE ABOUT SECURITIES SELF-REGULATION: IT'S TIME TO END FINRA'S FEDERAL INCOME TAX EXEMPTION.
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- Virginia Tax Review, 2011, v. 31, n. 1, p. 135
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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
The Vanishing Supervisor.
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- Journal of Corporation Law, 2015, v. 41, n. 1, p. 117
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Beyond the Brokerage Fee: The Hidden Cost of Investment Through Brokerage Firms--Due Process Protection.
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- Journal of Corporation Law, 2015, v. 40, n. 2, p. 483
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- Article
How "Suitable" Is the Language of Suitability in the Modern Era?
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- Journal of Corporation Law, 2013, v. 39, n. 1, p. 200
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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
"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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Financial Literacy - Evidence of Lack of Knowledge with Policy Suggestions.
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- Journal of Financial Education, 2021, v. 47, n. 2, p. 103
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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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- Article
Keeping pace with dynamic markets: FINRA's journey with AI-based surveillance techniques and tools.
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- Journal of Securities Operations & Custody, 2021, v. 14, n. 1, p. 54, doi. 10.69554/kkxh6261
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- Article
Editorial.
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- Journal of Securities Operations & Custody, 2021, v. 13, n. 4, p. 296, doi. 10.69554/cwod3044
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Assessing cybersecurity risks and practices in the broker-dealer industry.
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- Journal of Securities Operations & Custody, 2017, v. 9, n. 4, p. 302, doi. 10.69554/lczf8550
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- Article
Brokers are fiduciaries -- now what? The new US federal fiduciary best interest of the customer standard of care and its impact on existing FINRA regulation of wrap accounts.
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- Journal of Securities Operations & Custody, 2010, v. 3, n. 2, p. 148, doi. 10.69554/jyrq9742
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Recent developments in US securities arbitration and their implications for the industry.
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- Journal of Securities Compliance, 2008, v. 1, n. 3, p. 231
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- Article
MUCH ADO ABOUT NOTHING: HOW THE SECURITIES SRO STATE ACTOR CIRCUIT SPLIT HAS BEEN MISINTERPRETED AND WHAT IT MEANS FOR DUE PROCESS AT FINRA.
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- Georgia Law Review, 2013, v. 47, n. 3, p. 923
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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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- Article
KNOWLEDGE IS SALVATION: INFORMING INVESTORS BY REGULATING DISCLOSURES TO SAFEGUARD BEST EXECUTION.
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- Hofstra Law Review, 2015, v. 43, n. 4, p. 1231
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- Article
WHAT YOU DO NOT KNOW CAN HURT YOU: HOW THE FINRA EXPUNGEMENT PROCESS IS ENDANGERING FUTURE INVESTORS THROUGH A LACK OF INFORMATION.
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- Hofstra Law Review, 2014, v. 42, n. 4, p. 1227
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- Article
ENFORCING SELF-REGULATORY ORGANIZATION'S PENALTIES AND THE NATURE OF SELF-REGULATION.
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- Hofstra Law Review, 2012, v. 40, n. 4, p. 963
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- Article
RETAIL INVESTORS: WHY ONLINE INVESTING PLATFORMS NEED MORE REGULATION AND OVERSIGHT.
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- Brooklyn Journal of Corporate, Financial & Commercial Law, 2021, v. 16, n. 1, p. 255
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- Publication type:
- Article