Works matching DE "FINANCIAL Industry Regulatory Authority"

Results: 112

The What, Who, and Why of Suitable Insurance Product Recommendations.

Published in:

Journal of Financial Service Professionals, 2025, v. 79, n. 4, p. 25

By:

Weber, Richard M.;
Vanderzanden, Gerard J.

Publication type:

Article

The Vanishing Supervisor.

Published in:

Journal of Corporation Law, 2015, v. 41, n. 1, p. 117

By:

Fanto, James A.

Publication type:

Article

Beyond the Brokerage Fee: The Hidden Cost of Investment Through Brokerage Firms--Due Process Protection.

Published in:

Journal of Corporation Law, 2015, v. 40, n. 2, p. 483

By:

Covaleski, Paul

Publication type:

Article

How "Suitable" Is the Language of Suitability in the Modern Era?

Published in:

Journal of Corporation Law, 2013, v. 39, n. 1, p. 200

By:

Lichtor, Michelle

Publication type:

Article

A SECURITY BY ANY OTHER NAME: AN INQUIRY INTO STAKING AGREEMENTS AS SECURITIES.

Published in:

UNLV Gaming Law Journal, 2019, v. 9, n. 2, p. 201

By:

Crawley, Jacob D.

Publication type:

Article

Opacity, Complexity, and Self-Regulation in Investment Banking.

Published in:

George Washington Law Review Arguendo, 2015, v. 83, p. 1

By:

Morrison, Alan D.;
Wilhelm Jr., William J.

Publication type:

Article

Why Do Dealers Buy High and Sell Low? An Analysis of Persistent Crossing in Extremely Segmented Markets.

Published in:

Review of Finance, 2017, v. 21, n. 2, p. 719, doi. 10.1093/rof/rfw033

By:

Atanasov, Vladimir;
Merrick Jr., John J.;
Schuster, Philipp

Publication type:

Article

BROKER-DEALER BLUES: A COMPARISON OF SEC, FINRA, AND CFTC RETAIL INVESTOR REGULATION WITH HISTORICAL APPROACHES IN ANTITRUST AND TELECOMMUNICATIONS REGULATION.

Published in:

University of Pennsylvania Journal of Business Law, 2025, v. 27, n. 1, p. 310

By:

Chakrabarti, Arpan

Publication type:

Article

STOCKBROKER SECRETS.

Published in:

University of Pennsylvania Journal of Business Law, 2024, v. 26, n. 3, p. 793

By:

Tierney, James Fallows;
Edwards, Benjamin P.

Publication type:

Article

TAKE IT OR LEAVE IT: UNCONSCIONABILITY OF MANDATORY PRE-DISPUTE ARBITRATION AGREEMENTS IN THE SECURITIES INDUSTRY.

Published in:

University of Pennsylvania Journal of Business Law, 2015, v. 17, n. 2, p. 573

By:

Nelson II, William Alan

Publication type:

Article

SELF-REGULATION OF THE AMERICAN RETAIL SECURITIES MARKETS - AN OXYMORON FOR WHAT IS BEST FOR INVESTORS?

Published in:

University of Pennsylvania Journal of Business Law, 2012, v. 14, n. 4, p. 1055

By:

Irwin, Steven;
Lane, Scott;
Mendelson, Carolyn;
Tighe, Tara

Publication type:

Article

What Is a "Recommendation" Under the Department of Labor's Fiduciary Rule? Lessons From FINRA.

Published in:

Journal of Taxation & Regulation of Financial Institutions, 2017, v. 31, n. 1, p. 15

By:

SCHNEIDER, LEE A.;
TESSLER, LILYA;
MOGUL, ALEXANDRA N.;
ROSENBLOOM, SETH

Publication type:

Article

DEATH OF A SALESMAN: THE RISE & UNFORTUNATE POTENTIAL DEMISE OF THE FULL-TIME LIFE INSURANCE SALESMAN.

Published in:

St. John's Law Review, 2014, v. 88, n. 4, p. 985

By:

ROSH, ROBERT M.

Publication type:

Article

"WHAT I PERCEIVE TO BE TRUE I BELIEVE TO BE TRUE": RETAIL INVESTORS PERCEPTIONS CONCERNING SECURITIES ARBITRATION AND HOW TO CORRECT THEM.

Published in:

Dispute Resolution Journal, 2014, v. 69, n. 2, p. 67

By:

Ahluwalia, David F.

Publication type:

Article

THE ARBITRATION OF EMPLOYMENT DISCRIMINATION CASES IN THE SECURITIES INDUSTRY.

Published in:

Dispute Resolution Journal, 2013, v. 68, n. 1, p. 97

By:

Lamare, J. Ryan

Publication type:

Article

New FINRA Pilot Program for Large Cases.

Published in:: Dispute Resolution Journal, 2012, v. 67, n. 3, p. 6
Publication type:: Article

Manifest Disregard After Hall Street.

Published in:: Dispute Resolution Journal, 2012, v. 67, n. 2, p. 88
Publication type:: Article

SEC Approves Two New FINRA Rules.

Published in:: Dispute Resolution Journal, 2012, v. 67, n. 2, p. 6
Publication type:: Article

Cert. Petition Filed in FINRA Case.

Published in:: Dispute Resolution Journal, 2012, v. 67, n. 1, p. 5
Publication type:: Article

New Discovery Guide and Reply Rule.

Published in:: Dispute Resolution Journal, 2011, v. 66, n. 2, p. 7
Publication type:: Article

FINRA Offers All-Public Arbitrator Panel.

Published in:: Dispute Resolution Journal, 2011, v. 66, n. 1, p. 7
Publication type:: Article

Inability to Pay Award.

Published in:: Dispute Resolution Journal, 2010, v. 65, n. 2/3, p. 7
Publication type:: Article

The Arbitration of Employment Disputes in the Securities Industry: A Study of FINRA Awards, 1986-2008.

Published in:

Dispute Resolution Journal, 2010, v. 65, n. 1, p. 12

By:

Lipsky, David B.;
Seeber, Ronald L.;
Lamare, J. Ryan

Publication type:

Article

FINRA Panel Awards Elderly Investor Treble Damages under Financial Elder Abuse Law.

Published in:: Dispute Resolution Journal, 2010, v. 65, n. 1, p. 8
Publication type:: Article

FINRA Extends Public Arbitrator Pilot.

Published in:: Dispute Resolution Journal, 2009, v. 64, n. 4, p. 6
Publication type:: Article

II. To the Moon: Finfluencers, Meme Stocks, and Regulatory Response.

Published in:

Review of Banking & Financial Law, 2021, v. 41, n. 1, p. 16

By:

Miller, Megan

Publication type:

Article

VIII. Robinhood IPO: Continued Regulatory Issues After Going Public.

Published in:

Review of Banking & Financial Law, 2021, v. 41, n. 1, p. 99

By:

Schneider, Aspen

Publication type:

Article

IV. Gamify This: FINRA and the SEC's Decision on Gamification Looms Large.

Published in:

Review of Banking & Financial Law, 2021, v. 41, n. 1, p. 45

By:

Pioso, Michael

Publication type:

Article

Misbehaving Bankers: Desperate Analysts, FINRA Fines, and the Toys'R'Us IPO.

Published in:

Review of Banking & Financial Law, 2015, v. 34, n. 2, p. 416

By:

Rogers, Graham

Publication type:

Article

Privatizing Personalized Law.

Published in:

University of Chicago Law Review, 2019, v. 86, n. 2, p. 551

By:

Verstein, Andrew

Publication type:

Article

An Exploration of Overconfidence in the Utilization of Financial Advisors.

Published in:

Journal of Personal Finance, 2019, v. 18, n. 2, p. 39

By:

Lewis, Marc B.

Publication type:

Article

Regulatory leadership in struggling – the US path in robo-advisors governance.

Published in:

Law & Financial Markets Review, 2023, v. 17, n. 2, p. 116, doi. 10.1080/17521440.2024.2313473

By:

Di, Xingsi

Publication type:

Article

The Dark Side of Self-Regulation.

Published in:

University of Cincinnati Law Review, 2017, v. 85, n. 3, p. 573

By:

Edwards, Benjamin P.

Publication type:

Article

PRIVATE PLACEMENTS: WILL FINRA SINK IN THE SEA CHANGE?

Published in:

University of Cincinnati Law Review, 2013, v. 82, n. 2, p. 465

By:

Johnson, Jennifer J.

Publication type:

Article

WINNING, DEFINED? TEXT-MINING ARBITRATION DECISIONS.

Published in:

Cardozo Law Review, 2021, v. 42, n. 5, p. 1695

By:

Alexander, Charlotte S.;
Iannarone, Nicole G.

Publication type:

Article

BECOMING A FIFTH BRANCH.

Published in:

Cornell Law Review, 2013, v. 99, n. 1, p. 1

By:

Birdthistle, William A.;
Henderson, M. Todd

Publication type:

Article

Greenville County Library System Launches New Financial Education Programs with Grant.

Published in:: Southeastern Librarian, 2013, v. 60, n. 4, p. 10
Publication type:: Article

The Effects of Regulatory Overload.

Published in:

2013

By:

Radin, Arthur J.

Publication type:

Opinion

Financial Literacy Education in the United States.

Published in:

Reference & User Services Quarterly, 2016, v. 56, n. 2, p. 116

By:

Faulkner, Ashley E.

Publication type:

Article

BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA'S PROPOSAL TO MODIFY THE "BANK BROKER-DEALER RULE.".

Published in:

Albany Law Review, 2010, v. 73, n. 2, p. 465

By:

Gross, Jill I.;
Pekarek, Edward

Publication type:

Article

Arbitration in the United States under the Financial Industry Regulatory Authority.

Published in:

Arbitration International, 2015, v. 31, n. 3, p. 465, doi. 10.1093/arbint/aiv009

By:

Joelson, Mark R.

Publication type:

Article

THE EXPUNGEMENT OF CUSTOMER COMPLAINT CRD INFORMATION FOLLOWING THE SETTLEMENT OF A FINRA ARBITRATION.

Published in:

Fordham Journal of Corporate & Financial Law, 2013, v. 19, n. 1, p. 57

By:

Lipner, Seth E.

Publication type:

Article

THE IMPORTANCE OF FINRA'S ARBITRATOR SELECTION PROCESS AND CLARITY IN THE "EVIDENT PARTIALITY" STANDARD IN THE WAKE OF MORGAN KEEGAN.

Published in:

Fordham Journal of Corporate & Financial Law, 2012, v. 18, n. 1, p. 167

By:

Kan, Kirill

Publication type:

Article

Association rules forecasting for the foreign exchange market.

Published in:

International Journal of Electrical & Computer Engineering (2088-8708), 2024, v. 14, n. 3, p. 3443, doi. 10.11591/ijece.v14i3.pp3443-3454

By:

El Mahjouby, Mohamed;
Bennani, Mohamed Taj;
Lamrini, Mohamed;
El Far, Mohamed

Publication type:

Article

Financial abuse of elderly investors: Protecting the vulnerable.

Published in:

Journal of Securities Law, Regulation & Compliance, 2010, v. 3, n. 1, p. 5

By:

Catalano, Lisa A.;
Lazaro, Christine

Publication type:

Article

Financial Knowledge and Best Practice Behavior.

Published in:

Journal of Financial Counseling & Planning, 2011, v. 22, n. 1, p. 60

By:

Robb, Cliff A.;
Woodyard, Ann S.

Publication type:

Article

STRUCTURAL BARRIERS TO INCLUSION IN ARBITRATOR POOLS.

Published in:

Washington Law Review, 2021, v. 96, n. 4, p. 1389

By:

Iannarone, Nicole G.

Publication type:

Article

SHOW METHE (DATAABOUTTHE) MONEY!

Published in:

Utah Law Review, 2020, v. 2020, n. 5, p. 1277

By:

Packin, Nizan Geslevich

Publication type:

Article

PLEASE BE DELICATE WITH MY PERMANENT RECORD: THE PENDULUM INCHES TOWARDS ABSOLUTE PRIVILEGE IN MERKAM v. WACHOVIA.

Published in:

Villanova Law Review, 2013, v. 58, n. 2, p. 211

By:

CATUZZI, JOSEPH W.

Publication type:

Article

Lost in the Dark: An Analysis of the SEC's Regulatory Response to Dark Pools.

Published in:

2015

By:

Hintz, Allison

Publication type:

Opinion