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About 837 results for "financial industry regulatory authority"

Medcraft wants US-style exam for financial planners

The Financial Industry Regulatory Authority in the US conducts competency exams for the stockbroking profession. A similar system is being favoured for local financial planners by Australian Securities & Investments Commission chair Greg Medcraft, ... Individual.com, 2 weeks ago
10 Questions to Ask Your Financial Planner ILSTV.com, 2 weeks ago
Rebuild trust with adviser examinations Individual.com, 2 weeks ago

9 images for financial industry regulatory authority

JD Supra, 2 weeks ago
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Dajin Cleared for US Trading

/ Dajin Resources Corp. (Dajin) ( TXS-V: DJI ) is pleased to report that the US Financial Industry Regulatory Authority (FINRA) has cleared Dajin's common stock request for trading on the OTC Pink Sheets (DJIFF). The OTC Pink Sheet marketplace ...
 Equities.com2 weeks ago Dajin obtains FINRA approval to list on Pink Sheets  Stockwatch2 weeks ago Dajin Resources Corp. : Dajin Cleared for US Trading  4 Traders2 weeks ago Dajin Cleared for US Trading  Individual.com2 weeks ago
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FINRA Issues 2015 Regulatory and Exam Priorities Letter

The Financial Industry Regulatory Authority (FINRA) has released its 2015 Regulatory and Examination Priorities letter highlighting significant risks and issues that, if not properly addressed, could adversely affect investors and market integrity.
 Individual.com2 weeks ago Europe Braces for Derivatives Regulatory Lift Off in 2015  Derivsource2 weeks ago FINRA Issues Annual Regulatory and Examination Priorities Letter for 2015  National Law Review2 weeks ago
Times of India

Wall Street watchdog discrimination suit may head to trial

A former securities arbitration official's wrongful termination suit against the Financial Industry Regulatory Authority (FINRA) is set to head to trial, despite the Wall Street watchdog's effort to end the dispute, a US judge has ruled.
 Times of India1 month ago

FINRA Hearing Panel Expels John Carris Investments and Bars CEO George Carris for Fraud

WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has expelled John Carris Investments, LLC (JCI) and barred CEO George Carris from the securities industry for fraud and suitability ...
 Noodls2 weeks ago Press Release: FINRA Hearing Panel Expels John Thomas Financial and Bars CEO Tommy Belesis  iMarketReports2 weeks ago FINRA Hearing Panel Expels John Thomas Financial and Bars CEO Tommy Belesis for Trading Ahead of Customer Orders, Providing False Testimony and Other Violations; Ordered To Pay $1,047,288 to Customers  FINRA2 weeks ago
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OTC MARKETS : Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on...

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc. ; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to Quotation ...
 4 Traders2 weeks ago Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to FINRA Rules 0190 (Effective...  Insurance News Net3 weeks ago
JD Supra

SEC Approves Amendments to NASD Rule 2340 and FINRA Rule 2310 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities

The Financial Industry Regulatory Authority has issued Regulatory Notice 15-02 regarding the Securities and Exchange Commission's approved amendments to National Association of Securities Dealers (NASD) Rule 2340 (and corresponding amendments to ...
 JD Supra2 weeks ago SEC Approves FINRA Rule Strengthening Background Checks  National Law Review2 weeks ago SEC Approves FINRA Rule Proposal Regarding Responsibilities of FINRA Member Firms to Investigate Applicants for Registration  JD Supra2 weeks ago
Lithium Investing News

Dajin Cleared For Trading in the US on Pink Sheets

, 1:05pm PST Dajin Resources (TSXV: DJI ) says it has been given the go-ahead by the Financial Industry Regulatory Authority for the company to trade on the OTC Pink Sheets.Dajin's recent oversubscribed private placement raised in excess of $1.2 ...
 Lithium Investing News2 weeks ago
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Is Copy Trading Constituting Portfolio Management?

The UK Financial Conduct Authority has released a clarification letter to industry insiders about how copy trading should be treated under the purposes of MiFID and in what cases it should fall under the jurisdiction of the UK financial watchdog. ...
 Forex Magnates2 weeks ago

FCA's Payment Systems Regulator adds three senior executives

Carole Begent, Mark Falcon and Louise Buckley join the dedicated payments industry regulatory authority in Britain, all three of whom have served in senior corporate and public sector regulatory roles In taking the initiative to introduce a ...
 LeapRate2 weeks ago U.K. Payment Systems Regulator Preps For Launch — Market Talk  iMarketReports2 weeks ago
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