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About 855 results for "financial industry regulatory authority"

FINRA requests comment on proposed amendments to rules governi...

The Financial Industry Regulatory Authority issued Regulatory Notice 15-16 to solicit comments on proposed amendments to FINRA Rules governing communications with the public. FINRA is proposing to amend FINRA Rule 2210 so that a firm that is in its ... Lexology, 13 hours ago

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Disciplinary actions: See which firms made the list

The Financial Industry Regulatory Authority has taken disciplinary actions against a variety of financial services firms and individuals for violations of Finra rules; federal securities laws, rules and regulations; and the rules of the Municipal ...
 NBR.com12 hours ago Disciplinary actions: Who made the list?  Financial Content1 day ago

Track Group reports change in ticker symbol to more accurately reflect its corporate rebranding

Track Group According to the company, the change follows the Financial Industry Regulatory Authority's (FINRA) recognition of its official name change, as disclosed in the 8-K filed, on 19 May 2015. All stock trading, filings and market related ...
 Bloomberg19 hours ago Track Group, Inc. (TRCK: OTCQB) | Track Group Announces Ticker Symbol Change to TRCK  OTC Markets1 day ago Track Group Announces Ticker Symbol Change to TRCK  WorldNetDaily1 day ago TRACK GROUP : Announces Ticker Symbol Change to TRCK  4 Traders1 day ago

FINRA Publishes New Sanction Guidelines Urging Tougher Penalties for Rule Violations

On May 12, 2015, the Financial Industry Regulatory Authority's (FINRA's) National Adjudicatory Council (NAC) 1 released updated Sanction Guidelines for use in adjudicating disciplinary proceedings involving FINRA member firms and associated brokers.
 JD Supra1 day ago FINRA fines Morgan Stanley $2 million for short-selling violations  Economic Times2 weeks ago

Head of FINRA favours a best interest standard on U.S. brokers

Companies cited in this article Financial Industry Regulatory Authority More Imposing a best interest standard on U.S. brokers is the way to go, but proposals put forth earlier this year by the U.S. Department of Labor are not the way to do ...
 Investment Executive10 hours ago IoT & Industry Regulations: New Standard in Global Business  EBN Online1 day ago

FCA and PRA change their approach to regulating non-executive directors

The Financial Conduct Authority ( FCA ) and the Prudential Regulation Authority ( PRA ) in the UK have announced that in future, non-executive directors with specific responsibilities will come under the new senior managers' regime. Those affected ...
 Lexology18 hours ago ProAssurance Declares Regular Dividend and Adds to Share Repurchase Authorization  Franklin Credit Management Corporation9 hours ago A 'classic regulatory stitch-up': Keydata founder fights FCA £75m fine  Citywire1 day ago FCA to seek views on barriers to digital and mobile financial services innovation  Out-Law.com1 day ago

The Financial Report May 21, 2015 - US Securities and Exchange Commission developments

Regulatory Orders Tick size pilot. A proposal submitted by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year test of a program that widens the minimum quoting and trading increments for ...
 Lexology1 day ago

UK Financial Regulators Kick Off Investment, Corporate Banking Probe

Reddit Email Print Reprint NEW YORK ( The Deal ) -- The Financial Conduct Authority laid down the parameters of its long-awaited market probe into the investment and corporate banking sectors Friday. The regulator warned about an ...
 TheStreet.com5 days ago

Financial Regulatory Developments 22 May - European Banking Authority (EBA)

EBA updates on correlated currencies: EBA has updated its December 2013 list of closely correlated currencies for the purposes of calculating the capital requirements for foreign exchange (FX) risk according to the standardised rules. (Source: EBA ...
 Lexology5 days ago EBA EUROPEAN BANKING AUTHORITY : outlines its upcoming initiatives for the regulation of retail payments  4 Traders6 days ago

Steady performance for Jersey's finance industry in first quarter

Published: Tuesday 26 th May 2015 Author: Claire Rowland Marketing Assistant $company Latest figures released on Jersey's finance industry show a steady performance including a small increase in banking deposits and ...
 Jersey Finance15 hours ago
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