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About 804 results for "finra"

FINRA Requests Comment on the Effectiveness and Efficiency of ...

As part of an assessment of selected rules and related administrative processes, FINRA has issued Regulatory Notice14-15 and Regulatory Notice14-14 seeking public comment on the effectiveness and efficiency of its (a) Gifts and Gratuities and ... JD Supra, 2 days ago

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Annual Compliance Reminders for Institutional Registered Representatives Vol. 3

FINRA E-Learning Courses FINRA e-learning courses offer an affordable solution for Firm Element, anti-money laundering (AML) and other training needs. Firms trust FINRA's e-learning library for firmwide training on rules and regulations and how they ...
 FINRA3 days ago FINRA sanctions custodian and AML Compliance Officer for penny stock Anti-Money Laundering Compliance failures  Lexology5 days ago

Dresner Partners Announces Partnership With Centaur Partners

CHICAGO, IL -- (Marketwired) -- 04/17/14 -- Dresner Partners, a leading FINRA-registered, middle-market investment bank and IMAP member firm with offices in Chicago and New York, is pleased to announce that it has entered into a strategic ...
 BusinessWeek2 days ago DRESNER PARTNERS : Announces Partnership With Centaur Partners  4 Traders2 days ago

Rulemaking Items for Discussion at the April Meeting

FINRA Board of Governors Rulemaking Items for Discussion at the April 2014 Meeting The FINRA Board of Governors will consider the following rulemaking items at its April 2014 meeting. After the April 24 meeting, FINRA will notify firms via email ...
 FINRA3 days ago
Chicago Tribune

Watchdog FINRA Investigating Banks' Bond Transactions For Evidence Of Trader Favoritism

(Reuters) Wall Street watchdog FINRA is taking a broad look at the trading profits of banks and other middlemen in some bond transactions to examine whether some money managers are favoured at the expense of other investors, the Wall Street Journal ...
 Business Insider Australia1 week ago Watchdog FINRA probes banks' bond transactions - WSJ  CNBC1 week ago Finra Scrutinizes Banks' Role in Bond Market  SPi World News1 week ago Watchdog FINRA probes banks bond transactions WSJ  Big News Network1 week ago

Brokerage Firms Say Bonus Disclosure Plan Ignores Costs

The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra's plan to require disclosure of broker-recruitment bonuses. In comment letters to the SEC, industry interests say Finra needs to do more to justify the ...
 Financial Advisor Magazine1 day ago FINRA to Mull Beefing Up Broker Background Checks  AdvisorOne3 days ago The SEC and FINRA sync-up on M&A brokers  Lexology1 week ago

FINRA lifts hold on Puerto Rico bond cases, expands arbitrator pool

By Ashley Lau NEW YORK, April 14 (Reuters) - Wall Street watchdog FINRA said on Monday it is lifting the hold it had put on some cases involving investors who lost money in closed-end Puerto Rico bond funds after expanding its pool of arbitrators ...
 Yahoo! Finance5 days ago UPDATE 1-FINRA lifts hold on Puerto Rico bond cases, expands arbitrator pool  Reuters5 days ago

FINRA and BATS impose $1.1 million fine on Citigroup for IPO short sales

, FINRA and BATS Exchange, Inc. (BATS) announced that they had jointly concluded an enforcement action under which Citigroup Global Markets Inc. (Citigroup) agreed to pay approximately $1.1 million for short sales made in advance of five IPOs in ...
 Lexology5 days ago

Wall Street's Bond Trading, Allocation Under Finra Review

The Financial Industry Regulatory Authority is examining whether Wall Street firms overcharge investors on some bond trades and whether they unfairly allocate new corporate debt issues to reward certain clients. Richard Ketchum , the chairman and ...
 Bloomberg1 week ago Wall Street Bond Trading, Allocation Draws Scrutiny from Finra  La Repubblica1 week ago JLN Financials: Toxic Debt Condemned in Crisis Heralded as Europe's Savior; Wall Street's Bond Trading, Allocation Under Finra Review; Gross Prods El-Erian to Explain Reason for Pimco Exit  John Lothian Newsletter1 week ago

FINRA continues to focus on suitability of complex, non-traditional ETFs

In mid-January, FINRA announced another settled disciplinary proceeding alleging unsuitable sales of levered and inverse exchange-traded funds (ETFs). This second such announcement in recent months involving non-traditional ETFs sends the clear ...
 Lexology1 week ago
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