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About 802 results for "finra"

FINRA Launches Helpline for Seniors
AdvisorOne

How to Avoid Investment Scams

FINRA (Financial Industry Regulatory Authority) has just published an article on Avoiding Investment Scams which is available below: FINRA Avoiding Investment Scams This article is six pages long, and depending upon your perspective, either ... Sys-Con Media, 1 hour ago
"Wolves of Wall Street" Are Still Out There: FINRA WealthManagement.com, 2 days ago
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Funds Society

Rule Changes Affect the Composition of Arbitration Panels in FINRA Disputes

For financial services industry employers that participate in arbitrations administered by FINRA, the composition of the arbitration panel may have as much, or more, of an impact on the outcome of the dispute than the facts or the law. This is ...
 National Law Review6 days ago FINRA Reports Board Approval of Changes to Communications with the Public Rules, Trading Activity Fee  Individual.com6 days ago FINRA Changes Communications With the Public Rules And Amends Trading Activity Fee  Funds Society1 week ago FINRA Board Approves Changes to Communications With the Public Rules, Trading Activity Fee  Funds Society6 days ago

Gladinet Enhancements Enable FINRA and HIPAA Compliant Cloud Storage

Gladinet continues to improve its on-premise enterprise file sync and share platform for FINRA and HIPAA compliance with new security and usability enhancements. Gladinet's strategy for compliance focuses on enablement. Organizations and service ...
 Minyanville5 days ago
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World Assurance Group Announces FINRA Approval Of Corporate Name Change To Power Clouds And New Ticker Symbol: PWCL

NEW YORK "We are very excited that now both our name and our ticker symbol reflect the solar power and green energy focus of the business from now on. We feel that changing the name and symbol following the acquisition of the three Power Cloud ...
 Nasdaq4 days ago Eat at Joe's, Ltd. Announces FINRA Approval of Corporate Name Change and New Ticker Symbol: SPYR  Andhra News1 month ago
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Post/wire say Finra fines RBC $1.43-million (U.S.)

The Financial Post reports in its Friday edition a U.S. regulator has ordered Royal Bank to pay $1.43-million to resolve charges it sold high-yielding securities known as reverse convertibles without properly assessing whether they were suitable for ...
 Stockwatch2 days ago RBC fined in U.S. over sale of reverse convertibles  Reuters3 days ago Royal Bank of Canada : RBC fined in U.S. over sale of reverse convertibles  4 Traders3 days ago

Finra Fines 1st Discount Brokerage, Inc. for AML Violations

Financial Compliance Regulations | Anti Money Laundering | Money Laundering Cases | Money Laundering Training | Banking Regulations | Changes in
 Money Laundering Alert3 days ago

FIRE Solutions Releases New, Improved PowerComply Gift and Entertainment Tracking System

PowerComply, which was initially introduced in 2005, is designed to help firms comply with FINRA Rule 3220. "We are pleased to provide our clients and the rest of the Broker/Dealer community with an enhanced version of PowerComply," says Eric ...
 Wall Street Select4 days ago
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Proposed Amendments to SEC Rule 15b9-1 Would Require Most Proprietary Trading Broker-Dealers to Become FINRA Members

Introduction Consistent with the increased regulatory scrutiny of proprietary trading firms-and high frequency trading firms in particular—the Securities and Exchange Commission (SEC) recently proposed amendments to SEC Rule 15b9-1 (also ...
 National Law Review6 days ago

SIFMA Submits Comments to FINRA on Proposal to Require ATSs to Submit Quotation Information Relating to Fixed Income Securities

Downloa
 SIFMA Foundation5 days ago

Alaska Pacific Energy Corp. (ASKE: OTC Pink Current) | Alaska Pacific Energy to File Restricted Convert Stock Dividend With FINRA

Alaska Pacific Energy to File Restricted Convert Stock Dividend With FINRA Apr 20, 2015 OTC Disclosure & News Service Sunrise, FL This release includes additional documents.
 Pink Sheets6 days ago
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