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25 Nov 2013, 10:43 am
FINRA recently accepted the offer of settlement of a St. [read post]
10 Jan 2022, 8:31 am
"Bill has a point.http://www.brokeandbroker.com/6240/finra-default-weinrich/ [read post]
17 Aug 2009, 8:43 am
FINRA acknowledged today that it received a tip from an employee in 2003 that the company was running a Ponzi schemeâ€â [read post]
4 Apr 2022, 8:55 am
FINRA imposed a $5,000 fine and a 30-day suspension from association with any FINRA member in any capacity. [read post]
30 Jun 2015, 8:44 am
FINRA also lowered its expenses to $965 million, from $999 million in 2013. [read post]
27 Mar 2013, 6:28 am
In the fourth quarter of 2012, FINRA published Regulatory Notice 12-42 (the “Revised Proposal”), amending its proposal for substantive regulation of fixed-income research by FINRA-member firms. [1] The Revised Proposal represents the revision of FINRA’s earlier proposal, and modifies that proposal in meaningful ways. [2] Executive Summary: The Revised Proposal amends FINRA’s earlier proposal. [read post]
2 Jun 2015, 4:48 pm
The complete FINRA release regarding the new rule may be found here. [read post]
8 Jan 2013, 1:12 pm
FINRA posted on its website a review of its 2012 activities. [read post]
4 Aug 2022, 1:15 pm
FINRA has returned to the SEC with a new proposed rule change to address problems with its expungement system. [read post]
25 Aug 2016, 12:15 pm
While it is certainly not earth shattering FINRA is proposing to raise the limit on gifts to individuals from $100 to $175 annually. [read post]
16 May 2012, 12:29 pm
FINRA announced new features to BrokerCheck to help users more easily access broker-dealer and investment adviser registration information. [read post]
26 Oct 2018, 10:34 am
Some business school professors recently posted new research on FINRA arbitration and came away with interesting findings. [read post]
20 Dec 2018, 9:13 am
As more outside attention has focused on the issue, FINRA has begun releasing... [read post]
1 Jul 2021, 2:01 pm
FINRA recently posted a regulatory notice seeking information on whether it should consider changes to "rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate... [read post]
19 Jun 2017, 1:22 pm
Since then, the debate continues: Is FINRA arbitration fair, and does it still offer compelling reasons to waive a right to a jury trial? [read post]
8 May 2020, 9:25 am
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
15 May 2015, 10:58 am
In response to his violation of FINRA Rule 8210, Harper has agreed to a bar from association with any FINRA member in any capacity. [read post]
15 Jun 2018, 12:38 pm
FINRA also alleged that in one case Lawing recommended an investment without speaking with the customer. [read post]
8 Jun 2023, 7:17 am
The post The 411 On FINRA Rule 4111 | Ulmer & Berne LLP appeared first on Stoltmann Law. [read post]
13 Jun 2023, 9:40 am
The post Revised Finra expungement proposal gains support of previous critics appeared first on Stoltmann Law. [read post]
