FINRA files complaint against investment firm

The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority's proposal to require brokers to report details of equities transactions within 10 seconds of execution. The rule has been 30 seconds. Some brokers had ...

Financial Industry Regulatory Authority (FINRA) findings have been entered against Amy Louise Siesennop, a broker with Brookfield, Wisconsin based Freedom Investors Corp., for improperly guaranteeing a customer against loss and drafting a settlement ...

Financial Industry Regulatory Authority announced that Dr. Jonathan S. Sokobin, currently acting deputy director, research and analysis in the office of financial research at the U.S. Treasury Department, will join the organization as chief ...

The Telecom Regulatory Authority of India (TRAI) today proposed penalty of Rs 100,000 per week for any delay in the submission of the audit and action taken reports by the service providers.

Union Finance Minister #P Chidambaram on March 28 announced the proposal to set up a #road regulatory authority to address issues such as financial stress, construction risk and contract management in the sector.The Minister said the independent regulatory ...

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) and the Financial Conduct Authority (FCA), an independent body that regulates the financial services industry in the United Kingdom, today announced that the FCA has officially gone live with NASDAQ OMX's ...

Biologix Hair Inc. (OTCBB:BLGX) (OTCQB:BLGX) has appointed Dr. Michael Stocker as Chief Executive Officer and to the Company's Board of Directors and J. Gregory Wilson as Chief Financial Officer. Outgoing CEO, Ron Holland, will continue to serve as ...

STOCKHOLM--(BUSINESS WIRE)-- Regulatory News: Investor (STO:INVEA)(STO:INVEB)(LSE:INU): Following approval by the competition authorities, Investor's acquisition of Permobil, announced on March 27, 2013, has been completed. Permobil will be ...

(Edgar Glimpses Via Acquire Media NewsEdge) The following discussion and analysis is intended to assist the reader's understanding of Alion's financial condition, results of operations, liquidity and capital resources. This discussion should be read ...