Search for: "Financial Industry Regulatory Authority"
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7 Oct 2014, 10:05 am
Banks Jr. is a Portland securities litigator making news in The New York Times for his efforts to shine a light on how the Financial Industry Regulatory Authority (“FINRA”) manages expungement requests. [read post]
11 Jun 2023, 5:14 pm
., Sept. 28, 2022 /PRNewswire/ -- DLCC Prime, a wholly owned subsidiary of Digital Prime Technologies, announced today that it has been granted FINRA (Financial Industry Regulatory Authority) membership, and with it, the ability to operate as a broker-dealer registered with the U.S. [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]
14 Dec 2021, 10:00 pm
Among other things, the proposal increases the Financial Industry Regulatory Authority’s ability to look into the activities of non-broker-dealers, including the potential for near-real-time access to a market participant’s entire portfolio holdings of securities. [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]
13 Jun 2023, 9:40 am
The Financial Industry Regulatory Authority Inc. last week filed with the Securities and Exchange Commission a new version [...] [read post]
19 Jun 2023, 7:56 am
The Financial Industry Regulatory Authority has submitted to the Securities and Exchange Commission another revision to one of its two proposals to make it easier for firms to supervise brokers working remotely. [read post]
1 Sep 2023, 8:11 am
The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to file a new national market system plan (NMS plan) to replace the three existing…Read the Full Press Release Have a securities law question? [read post]
4 Jun 2023, 10:32 am
Oppenheimer & Co. has been ordered by a Financial Industry Regulatory Authority arbitration panel to pay another $14 million over alleged supervisory failures related [...] [read post]
5 Jun 2023, 6:51 am
A New Jersey attorney and his law firm have been hit with a legal malpractice suit claiming that they mishandled a client’s Financial Industry Regulatory Authority arbitration, resulting in a costly settlement. [read post]
8 Jun 2023, 7:31 pm
The Financial Industry Regulatory Authority Inc. has censured Morgan Stanley and fined the firm $325,000 for publishing research reports that included inaccurate historical stock ratings. [read post]
10 Jun 2023, 5:42 am
NEW YORK, April 5, 2023 /PRNewswire/ -- GTN, a successful fintech pioneer with decades of success making investment and trading accessible for all, proudly announces its latest accomplishment in its expansion strategy - obtaining a Financial Industry Regulatory Authority (FINRA) license. [read post]
4 Jun 2023, 12:58 pm
Prometheum subsidiary Prometheum Ember Capital has received approval from the Financial Industry Regulatory Authority (FINRA) as a special purpose broker-dealer (SPBD) for digital asset securities. [read post]
4 Jun 2023, 12:35 pm
Oppenheimer lost the huge arbitration decision, decided by a Financial Industry Regulatory Authority Inc. panel, in September, to eight investors who were [...] [read post]
31 Jan 2013, 4:26 am
In a Financial Industry Regulatory Authority (“FINRA”) ArbitrationStatement of Claim filed in January 2012, Claimants sought to recover on promissory notes dated July 25, 2008, November 17, 2009, and September 9, 2010, which were executed by Respondent Towne during his employment. [read post]
25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
11 Jun 2023, 7:52 pm
The Financial Industry Regulatory Authority’s proposal to tweak its arbitrator-selection procedures, making them more transparent, represents welcome progress, according to lawyers engaged in related practices. [read post]
19 Jun 2023, 8:38 am
Firms shouldn’t hold their breath as they await a pair of rule proposals from the Financial Industry Regulatory Authority to allow for more flexible supervision of brokers’ home offices, the regulator’s Chief Executive Robert Cook said on Wednesday. [read post]
14 Apr 2011, 12:37 pm
On Monday, April 11, 2011, the Financial Industry Regulatory Authority (FINRA) announced that UBS had accepted and consented to a settlement deal in which UBS would pay a fine of $2.5 million and restitution in the amount of $8.25 million to certain investors for its misconduct regarding Lehman Brothers 100% Principal-Protection Notes sold by UBS. [read post]
15 Sep 2021, 10:00 pm
Following the US Securities and Exchange Commission's recent settlement with Murchinson over allegations the investment adviser caused a hedge fund to act as an unregistered dealer, hedge funds should reassess their trading practices to avoid triggering SEC and Financial Industry Regulatory Authority dealer registration requirements, write partners Ignacio Sandoval and Steven Stone in an article published by Law360. [read post]
