Search for: "Financial Industry Regulatory Authority"
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15 Feb 2021, 2:03 pm
FINRA, the Financial Industry Regulatory Authority, is the U.S. broker-dealer industry’s most prominent self-regulatory organization, authorized by Congress to protect investors by ensuring that the broker-dealer industry operates fairly and honestly. [read post]
27 Sep 2021, 4:30 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds; Job Posting. [read post]
2 Aug 2022, 4:40 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds; Financial Industry Regulatory Authority Appoints Ombuds [read post]
7 Jul 2009, 6:14 pm
The Financial Industry Regulatory Authority (FINRA) was established in July 2007 when the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE) were consolidated. [read post]
17 Feb 2023, 5:06 am
The Financial Industry Regulatory Authority (FINRA) FINRA, or the Financial Industry Regulatory Authority, is private corporation that acts as a self-regulatory organization. [read post]
25 Aug 2023, 4:35 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds; Financial Industry Regulatory Authority Appoints Ombuds. [read post]
22 Feb 2015, 9:35 am
” See also – PWC Global State of Information Security Survey: 2015 results by industry [read post]
23 Mar 2018, 6:06 am
FINRA stands for Financial Industry Regulatory Authority. [read post]
21 Mar 2018, 7:56 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting; FINRA Ombuds Publishes 2014 Report. [read post]
10 Sep 2014, 4:20 am
(FINRA Careers.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds; FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report. [read post]
11 Apr 2017, 4:30 am
(Monster.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting; FINRA Ombuds Publishes 2014 Report. [read post]
18 May 2011, 12:39 pm
The Financial Industry Regulatory Authority (andlsquo;FINRAandrsquo;) launched today its new Disciplinary Actions Online database, which provides access to Finra complaints against firms and individual brokers, settlement agreements (known as Letters of Acceptance Waivers and Consent, or AWCs), decisions by Finra hearing panels and National Adjudicatory Council decisions. [read post]
21 Apr 2009, 10:18 pm
Financial Industry Regulatory Authority - Job Dislocation - Making Smart Financial Choices after a Job Loss: "You may not be... [read post]
27 Feb 2024, 11:09 am
The Financial Industry Regulatory Authority (FINRA) issued an Acceptance, Waiver, and Consent (AWC) on December 27, 2023, shedding light on various lapses in the firm’s supervision and reporting processes. [read post]
29 Oct 2020, 4:30 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds. [read post]
22 Apr 2021, 10:39 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds; Job Posting (Director). [read post]
18 May 2011, 12:37 pm
andnbsp; The Financial Industry Regulatory Authority (andlsquo;FINRAandrsquo;) launched today its new Disciplinary Actions Online database, which provides access to Finra complaints against firms and individual brokers, settlement agreements (known as Letters of Acceptance Waivers and Consent, or AWCs), decisions by Finra hearing panels and National Adjudicatory Council decisions. [read post]
24 Aug 2020, 4:20 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds. [read post]
26 Aug 2016, 11:12 am
Financial regulations issued and enforced by the Financial Industry Regulatory Authority (FINRA) affect the public by setting the level of investor protection available. [read post]
28 Dec 2018, 6:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Bittermann’s customer complaints allege that Bittermann made unsuitable recommendations. [read post]
