Search for: "Finra"
Results 641 - 660
of 18,147
Sorted by Relevance
|
Sort by Date
25 Mar 2021, 7:22 am
Under Financial Industry Regulatory Authority’s (FINRA) rules, whenever broker-dealers, registered investment advisers, or issuers of securities (FINRA member) terminate the employment of a FINRA-registered representative, including a licensed broker or financial advisor (an associated person) the member firm must file a Form U5 (the Uniform Termination Notice for Securities Industry Registration). [read post]
6 Oct 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) published for comment on September 30 a proposed rule change by the Financial Industry Regulatory Authority (FINRA) that would amend FINRA Rule 2231—the customer account statement rule. [read post]
25 Jan 2024, 6:00 am
Then, on January 23, 2024, FINRA published a report detailing the results of a targeted sweep examination on customer communications involving crypto assets, finding potential substantive violations of FINRA Rule 2210 in approximately 70 percent of surveyed communications.Continue Reading › [read post]
22 Jan 2024, 8:08 am
FINRA Rule 3280FINRA has rules in place to protect investors. [read post]
22 Mar 2012, 8:49 am
FINRA enforcement statistics experience hike in 2011 compared to 2010 An annual survey of FINRA sanctions revealed that 2011 was quite busier than 2010. [read post]
14 Mar 2016, 10:25 am
This is a new area FINRA is trying to investigate. [read post]
8 Apr 2021, 3:30 am
FINRA also fined Mr. [read post]
8 Mar 2022, 8:18 am
Securities Arbitration Arbitration through FINRA requires the selection of neutral arbitrators through FINRA’s Dispute Resolution Services. [read post]
24 Jul 2015, 2:20 pm
FINRA Rule 2210 relates to communications of a firm with the public. [read post]
23 Sep 2019, 2:36 pm
The FINRA Discovery Guide is not used in Simplified Arbitrations. [read post]
24 Feb 2021, 6:00 am
In sum, FINRA looks like it is planning a busy year, meaning member firms will be even more busy. [read post]
11 Mar 2022, 12:37 pm
According to FINRA, it will rely on information publicly posted on FINRA BrokerCheck to evaluate the firms. [read post]
18 Dec 2019, 1:45 pm
FINRA: SUITABILITY AND SALES PRACTICES ISSUES LINGERFinancial Industry Regulatory Authority Inc (FINRA) released its “2019 Report on Examination Findings and Observations”, in October 2019. [read post]
25 Aug 2022, 7:26 am
Liddle agreed to the FINRA bar. [read post]
16 Mar 2020, 11:33 am
The well-being of our FINRA employees, arbitrators, stakeholders and communities is of paramount importance.https://www.finra.org/rules-guidance/key-topics/covid-19 [read post]
13 Aug 2010, 5:15 am
More FINRA Stuff: IPO Allocations FINRA recently filed an amendment to its proposal to amend FINRA Rule 5131 with the SEC. [read post]
9 Jun 2023, 11:52 am
The post Wells Fargo ‘Manipulated’ FINRA Arbitration Process: Judge appeared first on Stoltmann Law. [read post]
22 Sep 2020, 11:42 am
First, in mid-March when the country first shut down, FINRA administratively postponed all hearings until May 1 … Continue reading FINRA’s Handling of Arbitration Hearings During COVID → [read post]
4 Jun 2023, 11:33 am
FINRA has not yet announced the effective date of these new [...] [read post]
17 Jun 2023, 2:03 am
On Wednesday, FINRA posted an update on the initiative that [...] [read post]
