Terri L. Reicher, Financial Industry Regulatory Authority, Inc., Washington, D.C., ... with the SEC pursuant to the Maloney Act of 1938, 15 U.S.C. § 78o–3, et seq. ... that FINRA is “responsible for regulatory oversight of all securities firms that do ...
In its role as an SRO, FINRA is subject to extensive oversight by the SEC. (See 15 U.S.C. § 78s; First Jersey Securities, Inc. v. Bergen (3d Cir. 1979) 605 F.2d ...
Plaintiffs appealed from a dismissal of their complaint, which sought a declaratory judgment that, inter alia, the Financial Industry Regulatory Authority, Inc.
Nov 1, 2017 ... against the Financial Industry Regulatory Authority (“FINRA”) and its denial of ... the FINRA. Code of Procedure. Fiero v. Fin. Indus. Regulatory Auth., Inc. .... to remand the case to the Florida state court, arguing that all of his ...
is whether the Financial Industry Regulatory Authority, Inc. has. 27 the authority to ... to the Maloney Act of 1938, 15 U.S.C. § 78o-3, et seq. See. 27. Desiderio v. ... that FINRA. 11 is “responsible for regulatory oversight of all securities firms. 12.