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About 808 results for "finra"

FINRA Levies $1.8 Million Fine on Goldman Sachs Subsidiary
Forex Magnates

FINRA Levies $1.8 Million Fine on Goldman Sachs Subsidiary

The Financial Industry Regulatory Authority (FINRA) has levied a fine against Goldman Sachs Execution & Clearing, L.P., an subsidiary of the banking giant Goldman Sachs, for a sum of $1.8 million, according to a FINRA statement. FINRA's latest ... Forex Magnates, 8 hours ago
Goldman Sachs fined $1.8m for reporting failures Finextra Research, 1 day ago
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174 images for finra

Fidelity Brokerage Services LLC, 1 day ago
WealthManagement.com, 5 days ago
Business Insider, 1 day ago
Advisor.ca, 1 week ago
SPi World News, 1 day ago
Crains NY Business, 1 day ago
Reuters, 1 day ago
Investing.com, 1 day ago
One News Page United Kingdom, 1 day ago
Business Times Singapore, 1 day ago

A bold new regulatory landscape for research: SEC approves FINRA rules addressing conflicts of interest for equity and debt research

" I am very pleased with the content of the Lexology newsfeeds. They are acentralized way of getting legal related updates from many jurisdictions and a great way to stay informed with a minimal time commitment." Nadia Martel Senior ...
 Lexology4 hours ago

What's Our Take On BP plc (ADR) Short Interest Update?

The Financial Industry Regulatory Authority (FINRA) has mandated it for companies publicly listed in the US to release their stock's short interest position on a bi-weekly basis. Bidness Etc takes a look at the short interest position of BP plc.
 Bidness Etc8 hours ago FINRA Updates Its Interpretation of the SEC's Financial Responsibility Rules  JD Supra1 week ago What's Our Take On Chevron Corporation (CVX) Short Interest Prior To Q2FY15 Results?  Bidness Etc1 day ago
TheStreet.com

Kovack Securities president urges support for his FINRA board of governors candidacy

Brian Kovack, president and co-founder of Kovack Securities, Inc., an independent broker-dealer and FINRA member has urged FINRA member firms to support his candidacy for the mid-sized firm seat on FINRA's board of governors. Kovack, whose official ...
 Bloomberg11 hours ago Brian Kovack Urges FINRA Member Firms To Support His Candidacy For FINRA Board Of Governors  Wall Street Select6 days ago
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.PUB 430 .DATE July 27, 2015 .TITLE M2 BEST BOOKS .PRICEDATE NOT APPLICABLE .DAY

-Nebraska Book Company's name change approved by FINRA (C)2000-2015 M2 COMMUNICATIONS ttp://www.m2.com Nebraska Book Company (OTC:NEEB), a large distributor in the textbook wholesale industry, announced on Friday the receipt of a notice that its ...
 Individual.com1 day ago Nebraska Book Company's name change approved by FINRA  Bloomberg1 day ago

Goldman Fined $1.8 Million by Finra Over Inaccurate Trading Data

Goldman Sachs Group Inc. agreed to pay $1.8 million to resolve Financial Industry Regulatory Authority claims that one of its units submitted inaccurate trading information over a period of eight years. Goldman Sachs agreed to resolve the claims ...
 Bloomberg1 day ago Goldman fined $1.8M over inaccurate trading data  New York Business Journal1 day ago
Reuters

Goldman Sachs unit must pay $1.8 mln for reporting failures -FINRA

July 27 (Reuters) - A Goldman Sachs Group Inc unit must pay $1.8 million for not reporting "substantial" details about its alternative trading system orders to a system that tracks that information, as well as other lapses, Wall Street's ...
 Yahoo! Finance1 day ago GOLDMAN SACHS : must pay $1.8 million for reporting failures-FINRA  4 Traders1 day ago Goldman Sachs must pay US$1.8 million for reporting failures: FINRA  Channel NewsAsia1 day ago Goldman Sachs must pay $1.8 million for reporting failures: FINRA  Yahoo! Finance1 day ago
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TheStreet.com

Former UBS Puerto Rico brokers file FINRA claim

By : Combined services According to reports, there has been a mass exodus of registered stock brokers from the various offices of UBS Puerto Rico, and more layoffs are reportedly anticipated soon as a result of the fallout related to UBS's Puerto ...
 Caribbean Business Online1 day ago MALECKI LAW : Announces Filing Of Another FINRA Arbitration Claim Against UBS Puerto Rico On Behalf Of A Group Of Seven Former Brokers  4 Traders4 days ago Malecki Law Announces Filing Of Another FINRA Arbitration Claim Against UBS Puerto Rico On Behalf Of A Group Of..  ADVFN India4 days ago Broker-dealer representative admits to stealing $650,000 from clients  Insurance & Financial Advisor1 day ago
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Wells Fargo, LPL, Raymond James to reimburse $30 million in fund fees: FINRA

Three major securities brokerages must collectively reimburse customers more than $30 million for failing to waive mutual fund sales charges for thousands of accounts.
 Economic Times3 weeks ago
TheStreet.com

Wall Street regulator says Labor Department broker rule 'not the way to go'

(FINRA) on Wednesday took aim at the US Labor Department plan to reduce conflicts among brokers who offer retirement account advice on Wednesday, saying it is "not the way to go." The Labor Department plan, unveiled in April, would require brokers who offer ...
 Economic Times2 months ago BetterInvesting Supports Department of Labor's Proposal to Expand the Definition of Fiduciary  Pettinga Financial Advisors1 day ago BETTERINVESTING : Supports Department of Labor's Proposal to Expand the Definition of Fiduciary  4 Traders1 day ago
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