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About 842 results for "financial industry regulatory authority"

Peabody Energy Corporation (BTU) - Shortsellers Cover Position...

Public companies in the US are mandated by the Financial Industry Regulatory Authority (FINRA) to release their short-interest position on a bi-weekly basis. Bidness Etc takes a look at the short-interest position of US coal producer, Peabody Energy ... Bidness Etc, 2 days ago
FINRA names new governors Investment Executive, 3 days ago

Former Merrill Lynch Broker Tom Buck Barred Permanently From Industry

By MICHAEL WURSTHORN | Wall Street Journal The Financial Industry Regulatory Authority permanently barred former Merrill Lynch financial adviser Tom Buck from the brokerage industry, accusing him of fraudulently causing clients to overpay for ...
 ILSTV.com3 days ago Former heavy-hitting Merrill broker banned from securities industry  New York Post5 days ago

FINRA fines Morgan Stanley $2 million for short-selling violations

The Financial Industry Regulatory Authority (FINRA) said the bank failed to implement a system that would prevent these violations. Wall Street's industry-funded watchdog said it had fined Morgan Stanley $2 million for violations of short-interest reporting ...
 Economic Times2 months ago
Wealth Manager

FCA beefs up its board in reshuffle

Financial Conduct Authority (FCA) director of strategy and competition Christopher Woolard has been appointed to the regulator's board. The appointment, which was made by the Treasury, is for a three year term and will start 1 August. Woolard ...
 Wealth Manager2 days ago FCA boosts board amid senior staff reshuffle 1  Citywire2 days ago #Awkward: Five times the FCA made no sense  Professional Adviser3 days ago FCA Appoints Christopher Woolard to its Board  Crowdfund Insider2 days ago

PA Group Brings Innovative Investment Solutions to Asia

(GLOBE NEWSWIRE) -- Having recently received regulatory approval from the Labuan Financial Services Authority, PA Group's expansion in Asia has also seen the appointment of new business development head Edward Pantani to market its Premier Trust ...
 Reuters3 days ago PA Group to set up regional office in KL days ago

Industry Groups Criticize Proposed Extension of Stress Testing for Non-SIFIs

Industry representatives questioned whether the Financial Stability Oversight Council has the authority to impose bank-style stress tests on large insurance companies that are not designated systemically important financial institutions. The FSOC's ...
 Individual.com6 days ago

Financial Regulatory Developments 17 July - Prudential Regulation Authority (PRA)

PRA consults on leverage ratio framework : PRA is consulting on how it will meet the Financial Policy Committee (FPC) direction of 1 July to implement a UK leverage ratio framework. PRA proposes that firms in scope (that is, PRA-regulated banks and ...
 Lexology2 weeks ago

How FCA rules will drive new thinking

Regulation can often be a driver of innovation and the Financial Conduct Authority rules are creating an environment where new thinking and applications are coming to the fore, James Tew, CEO of iVendi will tell delegates at AM's Digital Dealer ...
 AM Online2 days ago

Teva Announces European Medicines Agency (EMA) Confirms Successful Validation of Reslizumab Marketing Authorization Application

The FINANCIAL -- Teva Pharmaceutical Industries Ltd.,announced on July 28 that it has successfully filed a Marketing Authorization Application (MAA) with the European Medicines Agency (EMA) for reslizumab. Reslizumab is a humanized ...
 Finchannel.com4 days ago AltaGas Ltd. Announces Chief Financial Officer Succession Plan  SOA World Magazine4 days ago

Enforcement Notice Hearing - IN THE MATTER OF Brian Douglas Bergen and Leede Financial Markets Inc. - Adjournment

/CNW/ - A settlement hearing was originally scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Brian Douglas Bergen and Leede Financial Markets Inc. on Thursday, July 30, 2015. The ...
 SOA World Magazine4 days ago
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