Search for: "Financial Industry Regulatory Authority"
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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]
11 Jun 2023, 6:49 am
The Financial Industry Regulatory Authority (FINRA), the American self-regulatory organization, has launched an examination into the firm’s retail communications concerning crypto products and services offered by them.The regulatory body, in an official notice, announced that it is launching a targeted exam on firms on how they handled retail communications between July 1 and the end [...] [read post]
11 Jun 2023, 5:59 am
The Financial Industry Regulatory Authority Inc. last week took aim at another group of broker-dealers — this time Advisor Group firms — that sold private placements issued by GPB Capital Holdings, which has undergone a wide-reaching makeover in the past two years. [read post]
11 Jun 2023, 3:05 am
The Financial Industry Regulatory Authority (FINRA) has slammed a $3 million fine on the security broker, Webull for onboarding unqualified options traders between December 2019 and July 2021. [read post]
11 Jun 2023, 2:34 am
The Financial Industry Regulatory Authority Inc. [read post]
11 Jun 2023, 1:38 am
The Financial Industry Regulatory Authority Inc. last week penalized another broker-dealer, Coastal Equities Inc., over sales in 2018 of private placement managed by GPB Capital Holdings. [read post]
11 Jun 2023, 12:48 am
The Financial Industry Regulatory Authority Inc. last year penalized 15 broker-dealers a total of $3.7 million for sales of GPB Capital Holdings private placements dating back to the spring of 2018. [read post]
10 Jun 2023, 7:36 pm
The Financial Industry Regulatory Authority (FINRA), a not-for-profit government-authorized organization that oversees U.S. broker-dealers, has many rules and [...] [read post]
10 Jun 2023, 6:45 pm
A 25-year veteran financial advisor who worked for UBS Financial Services Inc. in Waco, Texas, was barred from the securities industry Friday by the Financial Industry Regulatory Authority Inc. for his role in off-the-books, private securities transactions, according to Finra. [read post]
10 Jun 2023, 5:53 pm
The Financial Industry Regulatory Authority Inc. on Friday fined a five-person broker-dealer on Long Island $35,000 for a variety of shortcomings dating back to June 2020, when Regulation Best Interest became the standard of conduct for brokers registered with Finra. [read post]
10 Jun 2023, 5:01 pm
The Financial Industry Regulatory Authority Inc. said Friday it had fined a small broker-dealer, Laidlaw & Co. [read post]
10 Jun 2023, 4:05 pm
The Financial Industry Regulatory Authority Inc. launched an exam sweep in September 2021 to probe how its member firms use TikTok, Twitter, Instagram, Facebook [...] [read post]
10 Jun 2023, 3:14 pm
The Financial Industry Regulatory Authority Inc. reported $45 million in fines in 2022 compared to $103 million in 2021, Eversheds Sutherland said [...] [read post]
10 Jun 2023, 2:19 pm
WASHINGTON—March 8, 2023—Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2022. [read post]
10 Jun 2023, 1:23 pm
The Financial Industry Regulatory Authority Inc. filed the proposals with the Securities and Exchange Commission last year. [read post]
10 Jun 2023, 11:40 am
Source: Kokhanchikov / Shutterstock.com More than three months after the Financial Industry Regulatory Authority (FINRA) halted trading on MMTLP, the agency has finally issued a statement. [read post]
