Search for: "Financial Industry Regulatory Authority"
Results 1901 - 1920
of 11,224
Sorted by Relevance
|
Sort by Date
8 Feb 2012, 7:23 am
As Wall Street continues to question why its business is declining, a recent Financial Industry Regulatory Authority (FINRA) arbitration case provides part of the answer. [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]
7 Feb 2012, 10:34 am
In a Financial Industry Regulatory Authority (? [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]
26 Sep 2011, 7:43 am
The Financial Industry Regulatory Authority (FINRA) is reportedly finalizing a proposed rule that would decrease the time that broker-dealers have to estimated the value a nontraded REIT. [read post]
20 Sep 2021, 9:10 am
The Securities and Exchange Commission's Division of Examinations and Office of Municipal Securities (OMS), the Municipal Securities Rulemaking Board (MSRB), and the Financial Industry Regulatory Authority (FINRA) today announced the opening of…Read the Full Press ReleaseHave a securities law question? [read post]
10 Jun 2023, 2:14 am
Source: ilikeyellow / Shutterstock.com Meta Materials (NASDAQ:MMAT) and MMTLP are in full focus after a shareholder filed a petition for pre-action disclosure against the Financial Industry Regulatory Authority (FINRA). [read post]
1 Aug 2014, 7:00 am
The SEC started developing the task force in September and the Financial Industry Regulatory Authority has also established an enforcement team to target recidivist brokers. [read post]
20 Mar 2017, 5:00 am
In its 2015 Report on Cyber Security Practices, the Financial Industry Regulatory Authority (FINRA) identified a wide range of actors that may attempt to compromise a broker dealers’ electronic records and functions: (1) cybercriminals seeking to steal; (2) nation states; (3) terrorist groups;… More [read post]
4 Jun 2021, 3:03 pm
SYK is pleased to announce that attorney Darlene Pasieczny (“Pah-shetch-nee”) has been appointed by the Board of Governors for the Financial Industry Regulatory Authority (FINRA) to serve a three-year term on the National Arbitration and Mediation Committee (NAMC). [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]
11 Jun 2023, 5:59 am
The Financial Industry Regulatory Authority Inc. last week took aim at another group of broker-dealers — this time Advisor Group firms — that sold private placements issued by GPB Capital Holdings, which has undergone a wide-reaching makeover in the past two years. [read post]
11 Jun 2023, 2:25 pm
The Financial Industry Regulatory Authority has fined Rock Hill, South Carolina-based BNA Wealth $45,000 for operating as an unregistered broker-dealer and for failing to establish and maintain a supervisory system and written procedures to oversee municipal securities transactions.BNA violated MSRB rules G-27 on supervision, G-2 and G-3 on professional qualifications requirements, and A-12 [...] [read post]
27 Jul 2011, 10:35 am
The Financial Industry Regulatory Authority (FINRA) has issued an investor alert warning against chasing yield with structured products, junk bonds and floating-rate bank-loan funds. [read post]
5 Oct 2010, 9:11 am
John’s and the Financial Industry Regulatory Authority (FINRA) hosted the second annual Securities Dispute Resolution Triathlon at St. [read post]
11 Jun 2023, 3:05 am
The Financial Industry Regulatory Authority (FINRA) has slammed a $3 million fine on the security broker, Webull for onboarding unqualified options traders between December 2019 and July 2021. [read post]
19 Feb 2009, 4:37 am
The Financial Industry Regulatory Authority, the agency that polices Wall Street for the Securities and Exchange Commission, plans to name Richard Ketchum, a longtime regulator, as its new chief executive. [read post]
11 Dec 2009, 1:15 pm
FINRA (the Financial Industry Regulatory Authority) recently published, "Managing Investment Risk" as guidance for investors. [read post]
9 Jun 2023, 7:44 am
A Georgia Superior Court judge took a serious whack at Wells Fargo Advisors, as well as the Financial Industry Regulatory Authority Inc., in a January order that dismissed an arbitration claim that Wells Fargo had won 2½ years ago involving a client who sued the firm for mismanaging his account. [read post]
27 Jun 2012, 12:40 pm
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch $2.8 million for overcharging nearly 95,000 customers with fees totaling more than $32 million. [read post]
