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About 835 results for "financial industry regulatory authority"

RCS Gets Regulatory Queries After ARCP Accounting Errors

RCS Capital Corp. (RCAP) said it was contacted by the Financial Industry Regulatory Authority and the Securities and Exchange Commission after accounting errors were disclosed at American Realty Capital Properties Inc. (ARCP) RCS, which operates ... Bloomberg, 1 week ago

27 images for financial industry regulatory authority

Financial Technologies Forum, 2 days ago
SPi World News, 4 days ago
Forex Magnates, 3 weeks ago
Futures, 3 weeks ago
JD Supra, 1 month ago
Inside Counsel, 1 month ago
Best, 5 days ago
Daily Times, 3 days ago
PRWeb, 3 days ago
Value Walk, 1 week ago

Ex-SocGen Mortgage-Bond Trader Sanctioned for Dealings

A former Societe Generale SA (GLE) mortgage-bond trader in New York was sanctioned by the Financial Industry Regulatory Authority for improper transactions. Yimin Ge bought bonds from other firms with an understanding that her counterparty would ...
 Bloomberg1 week ago

Scotrun financial adviser to pay $220,000 for mishandling investments [Pocono Record, Stroudsburg, Pa. :: ]

Nov. 10--The Financial Industry Regulatory Authority levied a $220,000 judgment last week against Scotrun financial adviser Anthony Diaz for mishandling two clients' investments. An authority arbitration panel of three found in favor of former ...
 BusinessWeek1 week ago
Business Insider

Wall Street watchdog to pick insider as arbitration head: Source

The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials. The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two ...
 Economic Times2 months ago The SEC Gets To Keep Its Wall Street Secrets  Business Insider1 week ago U.S. court affirms SEC stance on withholding Wall St arbitration records  CNBC1 week ago UPDATE 1-U.S. court affirms SEC stance on withholding Wall St arbitration records  Reuters UK1 week ago

Vanguard Mining Corp (VNMC: OTC Pink Current) | Vanguard Mining Provides Update on Forward Stock Split

- Vanguard Mining Corporation ( PINKSHEETS : VNMC ) today announced that the Financial Industry Regulatory Authority (FINRA) has completed the review of the Company's pending 4-for-1 forward stock split and has confirmed that effective date will be ...
 Pink Sheets1 week ago VAND MINI : Vanguard Mining Provides Update on Forward Stock Split  4 Traders1 week ago Vanguard Mining Provides Update on Forward Stock Split  Yahoo! UK and Ireland1 week ago

UBS participates in regulatory resolutions of industry-wide FX matter

Zurich/Basel UBS has reached resolutions with the Swiss Financial Market Supervisory Authority (FINMA), the US Commodity Futures Trading Commission (CFTC) and the UK Financial Conduct Authority (FCA) in connection with their industry-wide ...
 The Asian Banker1 week ago REG-UBS AG UBS Participates in Regulatory Resolutions of Industry-Wide FX Matter  Reuters1 week ago

FINRA: Firms Should Not Restrict Whistleblower Rights

Why it matters In a new regulatory notice, the Financial Industry Regulatory Authority (FINRA) reminded regulated firms not to prohibit the exercise of whistleblower rights in settlement agreements with employees and customers. Notice 14-40 ...
 JD Supra1 week ago Experts advise on Bitcoin and virtual currency regulatory and law enforcement developments  LeapRate1 week ago FINRA's (Financial Industry Regulatory Authority) New Consolidated Supervision Rules: A Roadmap to Compliance  National Law Review1 week ago

New payment industry regulator explains how it will monitor £75 trillion online transaction sector

Just over six months after announcing that a dedicated regulatory authority for electronic payment systems would be created, the FCA has today released full details of the parameters that it will use for oversight, as well as its pro-competition ...
 LeapRate1 week ago New Payment Systems Regulator sets out how it will regulate the £75 trillion industry that underpins UK's everyday financial activity  Today's Conveyancer1 week ago

Damned spot trading

The $3.4-billion regulatory settlement for currency market rigging is a big wake-up call to the banking industry on self-policing. The firms involved - Citigroup, HSBC, JPMorgan, Royal Bank of Scotland and UBS - are paying 20 per cent more than the ...
 Business Standard India1 week ago

Citigroup (C) and JPMorgan (JPM) Incur The Heaviest Forex Probe Fines

Citigroup and JPMorgan have each been fined almost $1 billion by regulatory authorities for manipulating the forex market. 4 other banks are also facing similar charges Published: November 13, 2014 at 5:03 pm EST By: Troy Kuhn Page 1 of 2 ...
 Bidness Etc1 week ago
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