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1 Jun 2012, 11:51 am
The SEC approved two proposals submitted by the national securities exchanges and FINRA that are designed to address extraordinary volatility in individual securities and the broader U.S. stock market. [read post]
8 Dec 2021, 3:33 pm
The SEC and FINRA want to know more about the blank-check company buying Trump's nonexistent social media empire. [read post]
5 Dec 2008, 5:55 pm
Recently, the Securities and Exchange Commission (SEC) approved rule changes that the Financial Industry Regulatory Authority (FINRA) had proposed to better protect customers' and regulators' ability to access complaint records of financial advisers. [read post]
6 May 2021, 8:17 pm
FINRA has amended its proposal to reform the expungement process again. [read post]
27 Feb 2023, 10:00 pm
The latest delay for the FINRA Rule 4210 amendments regarding covered agency transactions —originally approved in the summer of 2016—should serve as a cautionary tale regarding the outer limits of self-regulatory organization (SRO) rulemaking authority. [read post]
11 Apr 2018, 8:34 am
In February of this year, FINRA issued a press release on this exact issue - "FINRA Warns Investors of 'Regulator' Imposter Scams. [read post]
14 Aug 2023, 2:11 am
FINRA is the regulator who oversees brokers and brokerage firms. [read post]
8 May 2024, 7:20 pm
The firm accepted the penalty without admitting or denying FINRA’s charges. [read post]
6 Feb 2019, 2:17 pm
Finra documents name him as “Mr. [read post]
5 Jan 2023, 8:38 am
FINRA orders Center Street Securities to pay Restitution for Unsuitable GPB Sales According to a Letter of Acceptance Waiver and Consent on December 29, 2022, the Financial Industry Regulatory Authority (FINRA) has censured and fined Center Street Securities $70,000 and ordered the firm to pay partial restitution of $89,652.50, plus interest. [read post]
29 Dec 2022, 9:38 am
FINRA orders Moloney Securities to pay Restitution for Unsuitable GPB Sales According to a Letter of Acceptance Waiver and Consent on December 28, 2022, the Financial Industry Regulatory Authority (FINRA) has censured Moloney Securities Co. $60,000 and ordered the firm to pay partial restitution of $268,082.64, plus interest. [read post]
6 Mar 2015, 2:57 pm
FINRA alleged that each time Citigroup failed to deliver a prospectus to a customer who purchased an ETF, it violated federal law. [read post]
30 Apr 2015, 7:13 pm
Securities Regulation: SEC Can Further Enhance Its Oversight Program of FINRA, GAO-15-376: Published: Apr 30, 2015. [read post]
6 Nov 2014, 6:19 am
Enter the proposed FINRA rule change. [read post]
9 Feb 2015, 6:50 am
OTC Link, LLC is a FINRA member and registered with the SEC as an alternative trading system. [read post]
7 Oct 2022, 8:31 am
appeared first on FINRA Lawyer Blog. [read post]
21 Oct 2010, 2:03 pm
She had previously been a partner at Davis Polk, then went to the NYSE and ended up with the FINRA job. [read post]
15 Jul 2013, 10:07 am
This information which is publicly available on FINRA’s website has been provided by The White Law Group, LLC. [read post]
20 Jan 2010, 6:56 am
From SecuritiesArbitrationBlawg.com: FINRA recently reported its December 2009 arbitration statistics. [read post]
16 Sep 2013, 12:28 pm
As I blogged here, at the end of 2012, George Friedman retired as Executive Vice President and Director of Dispute Resolution of FINRA Dispute Resolution after many years in a top role there. [read post]
