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N. Nancy Ghabai
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Legal
Latest News
- Status Report on FINRA Dispute Resolution Task Force Recommendation: February 8, 2017 Status ReportFebruary 14, 2017 - 7:08 pm
- U.S. appeals court rejects SEC’s use of administrative law judgesDecember 30, 2016 - 6:08 pm
U.S. appeals court rejects SEC’s use of administrative law judges
/in NewsA divided federal appeals court has ruled that the U.S. Securities and Exchange Commission’s in-house administrative judges are not constitutionally appointed, raising the prospect that the U.S. Supreme Court may need to address the issue.
Court rejects emergency injunction to block DoL fiduciary rule
/in NewsA federal appeals court has rejected an annuities trade group’s request to postpone the implementation deadline for Department of Labor’s fiduciary rule, the latest legal setback for opponents of the controversial regulation.
FINRA fines Credit Suisse over anti-money laundering policies
/in NewsThe Financial Industry Regulatory Authority said on Monday it has fined Credit Suisse’s U.S.-based securities business $16.5 million for ineffective anti-money laundering programs.
FINRA, the securities industry self-regulator, found that Credit Suisse Securities (USA) LLC relied on its brokers to identify and report suspicious trading, which did not always happen.