Search for: "Financial Industry Regulatory Authority"
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14 Jun 2023, 9:03 am
The Financial Industry Regulatory Authority underscored once again on Tuesday the compliance dangers that lurk for branch managers at brokerages. [read post]
13 Jun 2023, 11:42 am
The Financial Industry Regulatory Authority Inc. last week fined Charles Schwab & Co. [read post]
13 Jun 2023, 9:40 am
The Financial Industry Regulatory Authority Inc. last week filed with the Securities and Exchange Commission a new version [...] [read post]
13 Jun 2023, 8:32 am
Matalon, who once managed a $250 million book, declined to participate in a Financial Industry Regulatory Authority request [...] [read post]
12 Jun 2023, 10:30 pm
Check out the new Practical Guidance Author Center ! [read post]
12 Jun 2023, 1:15 pm
The Financial Industry Regulatory Authority arbitrators grant expungement requests 90% of the time, according to a new analysis conducted by the Public Investors Advocate Bar Association (PIABA). [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, Unite... [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, United States District Court for the District of Columbia, 23-CV-1506) DOJ RELEASES SEC RELEASES CFTC RELEASES FINRA RELEASES SEC Sends F... [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, United States District Court for the District of Columbia, 23-CV-1506) DOJ RELEASES St. [read post]
11 Jun 2023, 7:52 pm
The Financial Industry Regulatory Authority’s proposal to tweak its arbitrator-selection procedures, making them more transparent, represents welcome progress, according to lawyers engaged in related practices. [read post]
11 Jun 2023, 5:14 pm
., Sept. 28, 2022 /PRNewswire/ -- DLCC Prime, a wholly owned subsidiary of Digital Prime Technologies, announced today that it has been granted FINRA (Financial Industry Regulatory Authority) membership, and with it, the ability to operate as a broker-dealer registered with the U.S. [read post]
11 Jun 2023, 4:17 pm
The Financial Industry Regulatory Authority Inc., a private organization empowered by Congress to regulate the securities industry, is structured and operated in a way that violates the US Constitution, two brokerage firms allege in a suit.FINRA “wields massive power and governmental authority over the securities broker-dealer industry and the financial markets,” Scottsdale Capital [...] [read post]
11 Jun 2023, 3:26 pm
The Financial Industry Regulatory Authority Inc. announced last week that it has kicked off a machine-readable rulebook initiative. [read post]
11 Jun 2023, 2:25 pm
The Financial Industry Regulatory Authority has fined Rock Hill, South Carolina-based BNA Wealth $45,000 for operating as an unregistered broker-dealer and for failing to establish and maintain a supervisory system and written procedures to oversee municipal securities transactions.BNA violated MSRB rules G-27 on supervision, G-2 and G-3 on professional qualifications requirements, and A-12 [...] [read post]
11 Jun 2023, 1:38 pm
The Financial Industry Regulatory Authority Inc. started an inquiry in November into whether broker and financial advisor James Iannazzo broke industry rules when he allegedly “structured cash transactions in his personal bank and brokerage accounts to avoid federal reporting requirements,” according to his BrokerCheck report. [read post]
11 Jun 2023, 12:17 pm
FINRA is invoking the nearly 3-year old Regulation Best Interest for the first time in a decision to boot a firm from the brokerage industry.The Financial Industry Regulatory Authority, broker-dealers' self-regulator, announced Friday that it was expelling SW Financial, a Melville, New York-based firm in business since June 2007. [read post]
11 Jun 2023, 12:01 pm
The Financial Industry Regulatory Authority Inc. removed the $310,000 ceiling on the recommended highest range for penalties for midsize and large firms, according to a regulatory notice released Thursday. [read post]
11 Jun 2023, 11:05 am
The Financial Industry Regulatory Authority Inc. [read post]
11 Jun 2023, 9:22 am
On Monday, the Financial Industry Regulatory Authority Inc. filed a proposal with the Securities and Exchange Commission to continue remote inspections through the end of 2023 or [...] [read post]
11 Jun 2023, 7:40 am
In July, the Financial Industry Regulatory Authority Inc. filed a proposal with the Securities and Exchange Commission that would allow [...] [read post]
