Search for: "Financial Industry Regulatory Authority"
Results 921 - 940
of 11,219
Sorted by Relevance
|
Sort by Date
18 Mar 2011, 5:46 am
Sutherland Asbill & Brennan LLP recently announced the results of its 2011 Sutherland SEC/FINRA Litigation Study – an annual review of the litigated cases brought by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) against... [read post]
18 Dec 2008, 8:04 am
Schapiro is currently the Chief Executive Officer (CEO) of the Financial Industrial Regulatory Authority (FINRA) [organization website], an independent regulator of US securities [read post]
31 Aug 2015, 9:01 am
Stockbroker Wins Expungement Over AnnuitiesYesterday, we discussed the case of a registered representative who was sanctioned by the Financial Industry Regulatory Authority ("FINRA") as a result of some alleged improper conduct in connection with variable annuities ("VAs") switches. [read post]
9 Jun 2023, 11:19 am
District ruled that a securities firm failed to show that the Financial Industry Regulatory Authority was likely unconstitutional. [read post]
23 Aug 2010, 12:10 pm
On August 13, 2010, the SEC sent to the Federal Register for publication Release No. 34-62718 - a Notice that the Financial Industry Regulatory Authority, Inc. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
13 Mar 2012, 1:49 pm
Sutherland Asbill & Brennan LLP has posted its annual FINRA Sanctions Survey, a review of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA), on its website. [read post]
6 Oct 2011, 7:31 am
The Financial Industry Regulatory Authority (FINRA) has issued an Investor Alert regarding non-traded Real Estate Investment Trusts (REITs). [read post]
6 Apr 2010, 12:56 pm
In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct... [read post]
6 Apr 2011, 1:16 pm
The SEC announced that national securities exchanges and the Financial Industry Regulatory Authority (FINRA) today filed a proposal to establish a new “limit up-limit down” mechanism to address extraordinary market volatility in U.S. equity markets. [read post]
14 Oct 2011, 11:24 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Societe Generale SA and affiliates to pay $61 million to Aurum STS Aggressive Trading LLC, a California fund manager. [read post]
7 Jun 2012, 1:13 pm
However, the Financial Industry Regulatory Authority (FINRA) warns that these loans come with significant risks, including potential credit, valuation and liquidity problems. [read post]
2 Sep 2015, 4:00 pm
An arbitration panel with the Financial Industry Regulatory Authority (FINRA) has recently awarded an elderly couple $2.5 million in an investment fraud case. [read post]
21 Nov 2007, 11:15 am
Shulman, Vice Chairman of the Financial Industry Regulatory Authority (formerly known as the National Association of Securities Dealers), to be Commissioner of the Internal Revenue Service: White House Press Release Treasury Department Press Release... [read post]
21 Nov 2011, 7:18 am
In fact, the Financial Industry Regulatory Authority Inc. [read post]
4 Mar 2010, 11:26 am
The National Adjudicatory Council (NAC) of the Financial Industry Regulatory Authority (FINRA) issued a ruling today dismissing charges that Kenneth Pasternak, former CEO of Knight Securities, L.P., and John Leighton, former head of the firm's Institutional Sales Desk, were responsible... [read post]
24 Oct 2007, 12:01 pm
The Securities and Exchange Commission recently approved new proposed rules by the Financial Industry Regulatory Authority for fairness opinions by its members. [read post]
18 Dec 2018, 6:04 am
According to the Financial Industry Regulatory Authority (FINRA) By-Law, Article III, Section 4, filing for bankruptcy is not an event that would disqualify an individual from being associated with a FINRA member firm. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
1 Jul 2024, 7:05 am
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for both in-person and virtual attendance of their Compliance Outreach…Read the Full Press Release Have a securities law question? [read post]
