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
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/ 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.com, 2 weeks ago Dajin obtains FINRA approval to list on Pink Sheets Stockwatch, 2 weeks ago Dajin Resources Corp. : Dajin Cleared for US Trading 4 Traders, 2 weeks ago Dajin Cleared for US Trading Individual.com, 2 weeks ago
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.com, 2 weeks ago Europe Braces for Derivatives Regulatory Lift Off in 2015 Derivsource, 2 weeks ago FINRA Issues Annual Regulatory and Examination Priorities Letter for 2015 National Law Review, 2 weeks ago
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 India, 1 month ago
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 ...Noodls, 2 weeks ago Press Release: FINRA Hearing Panel Expels John Thomas Financial and Bars CEO Tommy Belesis iMarketReports, 2 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 FINRA, 2 weeks ago
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 Traders, 2 weeks ago Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to FINRA Rules 0190 (Effective... Insurance News Net, 3 weeks ago
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 Supra, 2 weeks ago SEC Approves FINRA Rule Strengthening Background Checks National Law Review, 2 weeks ago SEC Approves FINRA Rule Proposal Regarding Responsibilities of FINRA Member Firms to Investigate Applicants for Registration JD Supra, 2 weeks ago
, 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 News, 2 weeks ago
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 Magnates, 2 weeks ago
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 ...LeapRate, 2 weeks ago U.K. Payment Systems Regulator Preps For Launch — Market Talk iMarketReports, 2 weeks ago
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