Search for: "Financial Industry Regulatory Authority"
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7 Aug 2008, 3:12 pm
FINRA (the Financial Industry Regulatory Authority) has filed Regulatory Notice 08-39 for public comment. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
2 Nov 2015, 12:01 pm
This article was originally posted on Stock Market Loss The Public Investors Arbitration Bar Association (PIABA) believes the SEC should increase the public comment period for the proposed merger of its independent arbitration division of the Financial Industry Regulatory Authority (FINRA) with its regulatory arm. [read post]
6 May 2010, 5:56 am
On April 20, 2010, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 10-22 reminding broker-dealers of their obligation to conduct reasonable due diligence investigations of issuers in PIPEs and other private placements. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
26 Jun 2018, 4:37 am
Pour into one big regulatory glass and garnish with a compliance nightmare.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to ... [read post]
6 May 2010, 5:56 am
On April 20, 2010, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 10-22 reminding broker-dealers of their obligation to conduct reasonable due diligence investigations of issuers in PIPEs and other private placements. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
26 Jan 2012, 4:07 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
11 May 2021, 7:10 am
Ohio National Financial Services Broker-Dealer Accused of Failing to Properly Supervise The Financial Industry Regulatory Authority (FINRA) announced that brokerage firm O.N. [read post]
12 Jul 2017, 12:02 pm
(Next Financial) broker Dion Padilla (Padilla) was subject to a regulatory action brought by The Financial Industry Regulatory Authority (FINRA) alleging Padilla effected an unauthorized purchase of a variable annuity for a customer and misrepresented that the investment was not a variable annuity. [read post]
9 Sep 2018, 7:16 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Yanofsky has been accused by customers of unauthorized trading, unsuitable trading, and misrepresentations among other claims. [read post]
7 May 2012, 6:28 am
The Financial Industry Regulatory Authority (FINRA) has responded to the Boston Consulting Group (BCG) study that estimated the cost of FINRA becoming the investment adviser self regulatory organization (SRO). [read post]
27 Dec 2019, 11:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Lockett’s customer complaint alleges that Lockett recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
25 Jan 2019, 7:01 am
FINRA warns about online platforms and other issues affecting investors The Financial Industry Regulatory Authority (FINRA) is a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. [read post]
26 Feb 2017, 9:31 pm
The second RegNet contribution to Achieving Regulatory Excellence, which I authored, focuses on responsive excellence. [read post]
19 Sep 2018, 1:32 pm
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Ford has been subject to eight customer disputes and three regulatory disputes. [read post]
24 Jul 2009, 2:06 am
The proposed council would work closely with the Federal Reserve, which would oversee Tier 1 financial holding companies – the large, interconnected firms that could pose a threat to the overall system.Also expected from the Treasury Department this week are proposals to: (1) consolidate the Office of Thrift Supervision and the Office of the Comptroller of the Currency into the new National Bank Supervisor; and (2) give the federal government the ability and… [read post]
