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17 Nov 2011, 8:12 am
FINRA CEO Richard G. [read post]
31 Oct 2009, 10:29 am
Namely, FINRA has enhanced its examination programs, procedures and training to help deter fraudulent conduct. [read post]
14 Sep 2022, 7:00 am
Continue Reading › The post What Should Investors Know About The FINRA Arbitration Process? [read post]
17 Feb 2017, 7:16 am
Of those, 35 of them have led to some action by FINRA while 16 still remain pending. [read post]
29 Dec 2019, 6:25 am
FINRA sent the proposal to SEC last month following its regular board meeting. [read post]
1 Feb 2011, 8:40 am
On October 26, 2010, FINRA filed a rule proposal with the SEC that would allow all investors filing arbitration claims the option of having an all-public panel in arbitration claims filed before FINRA, to which of course, the securities industry opposed. [read post]
4 Feb 2011, 12:11 pm
James Shorris, executive vice president and executive director of enforcement for FINRA, says oversight of private placements will be a “major, major, major initiative” at FINRA in the future. [read post]
14 Dec 2011, 2:15 pm
Forbes recently published an article online reviewing the salaries and some key benefits paid to FINRA's top regulators. [read post]
25 Jul 2018, 11:25 am
According to FINRA BrokerCheck, Aegis’ regulatory history includes a total of thirty (30) disclosure events, a number of which involve penny stocks. [read post]
6 Jan 2012, 9:07 am
"An effective risk based branch office inspection program is an important component of a broker-dealer's supervisory system and, when constructed and implemented reasonably, it can better protect investors and the firm's own interest," stated Stephen Luparello, Vice Chairman of FINRA. [read post]
24 Oct 2017, 7:12 am
FINRA has issues several notices to members on steepeners, which are frequently used to “juice” returns on mundane, low risk products like certificates of deposit. [read post]
27 Oct 2016, 1:04 pm
A FINRA spokesperson was quoted as saying, ““In light of recent issues related to cross-selling, FINRA is focused on the nature and scope of broker-dealers’ cross-selling activities and whether they are adequately supervising these activities by their registered employees to protect investors. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
18 Jun 2013, 2:08 am
FINRA has filed with the SEC a proposed rule change to amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) to make it easier for parties to select an all-public arbitrator panel in cases... [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
21 Jul 2010, 2:52 pm
FINRA found that Deutsche Bank Securities negligently misrepresented and underreported the percentages of mortgages that were delinquent in the... [read post]
