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About 800 results for "finra"

FINRA Publishes Guide On How to Detect a Boiler Room Scam
Forex Magnates

FINRA Says Boiler Room Scams On the Rise

Among the unfortunate trends that have made a comeback is the boiler room-style calls touting the next hot stock, say officials at the Financial Industry Regulatory Authority (FINRA), a non-governmental, self-regulating organization (SRO) focused on ... Financial Technologies Forum, 1 week ago
Double-Check FINRA's BrokerCheck Huffington Post, 2 weeks ago
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266 images for finra

AdvisorOne, 1 day ago
Markets Media Online, 1 week ago
EFinancialCareers Canada, 1 week ago
Insurance News Net, 6 days ago
RIABiz, 6 days ago
AdvisorOne, 1 week ago
Investing.com, 2 weeks ago
financemagnates.com, 2 weeks ago
Equities.com, 1 week ago
investing.com, 3 weeks ago

SR-FINRA-2016-033

Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration Financial Industry Regulatory Authority, Inc. (FINRA) is filing with the Securities and Exchange Commission (SEC or Commission) a proposed rule change to amend ...
 FINRA1 week ago SR-FINRA-2016-030  FINRA2 weeks ago Global Digital Solutions, Inc. et al  SEC Filings1 week ago SEC United States Securities and Exchange : Global Digital Solutions, Inc. et al  4 Traders1 week ago

BUSINESS DEVELOPMENT COMPANY (BDC) INVESTOR ALERT: The Securities Arbitration Law Firm of Klayman & Toskes, P.A. Opens Investigation into Potential Brokerage Firm Violations Related to Sale of Non-Tra

ded Business Development Companies in Response to FINRA Targeted Examination Letter The Securities Arbitration Law Firm of Klayman & Toskes, P.A. (K&T), www.nasd-law.com, has opened an investigation into potential brokerage firm violations related ...
 Minyanville1 week ago METLIFE VARIABLE ANNUITY ALERT -- Securities Arbitration Law Firm of Klayman & Toskes, P.A. Announces Investigation of MetLife Securities Misconduct in Light of $25 Million in Fines and Restitution Im  Minyanville1 week ago FINRA Offers Tips for Retail Investors on Order Types  FINRA2 weeks ago Blackstone targets retail investors with nontraded REIT  Seeking Alpha1 week ago
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Is FINRA doing enough to steer investors clear of bad brokers?

By Todd Ehret, Regulatory Intelligence (Thomson Reuters Regulatory Intelligence) A recent debate has emerged as to whether U.S. regulators and the securities industry have done enough to rid themselves of bad brokers. At the core of the argument ...
 Reuters India2 weeks ago
Nasdaq

Deutsche Bank Fined Over 'Squawks' Supervision Failure

Deutsche Bank AG DB has been slammed with a $12.5 million fine by The Financial Industry Regulatory Authority (FINRA) over substantial supervisory failures tied with research and trading-related information it communicated to its employees. The ...
 Yahoo! Finance UK and Ireland2 weeks ago Deutsche Bank sanctioned over failure to supervise squawk boxes  Investment Executive2 weeks ago
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Nasdaq

Deutsche Bank fined with USD 12.5 mln by US regulator

US regulator Finra has fined Deutsche Bank with USD 12.5 mln for failing to prevent the dissemination of non-public information over an internal speaker system. Deutsche Bank Securities broadcasted confidential information through an internal ...
 Paypers1 week ago FINRA Levies $12.5 M Fine on Deutsche Bank for Inadequate Supervision over hoots  Forex Magnates2 weeks ago FINRA Fines Deutsche Bank Securities Inc. $12.5 Million for Inadequate Supervision of Internal Communications  Business Wire2 weeks ago Deutsche Bank Sec. fined USD12.5 mln for inadequate communication supervision  Lanka Business Online2 weeks ago
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AdvisorOne

Financial Services Weekly News - August 2016 #2

Editor's Note OATS Reporting Violations and FINRA Enforcement. FINRA's Order Audit Trail System (OATS), is an integrated audit trail of order, quote and trade information for all NMS stocks and OTC equity securities, under FINRA Rules 7410-7470, ...
 JD Supra1 week ago BarCap to Pay $2M in CFTC, FINRA Fines  Financial Technologies Forum2 weeks ago FINRA Enforcement: Barclays Fined $1.3 Million on OATS Failures  AdvisorOne2 weeks ago FINRA Levies $1.3M Fine On Barclays Capital For Supervisory Failures  Forex Magnates2 weeks ago
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GRD PACARAIMA GOLD : First Bitcoin CapitalCorp. FINRA approved Name Change is effective as of today

/ FIRST BITCOIN CAPITAL CORP. (OTC markets: BITCF), announced today that FINRA (Financial Industry Regulatory Authority) has approved its name change to FIRST BITCOIN CAPITAL CORP from Grand Pacaraima Gold Corp. The change will be reflected at the ...
 4 Traders1 week ago First Bitcoin CapitalCorp. FINRA approved Name Change is effective as of today  Yahoo! Finance1 week ago
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Safirstein Metcalf LLP and the Law Office of Kevin Galbraith LLC Announce that FINRA has Issued A Fine for the Sale of Leveraged, Inverse and Inverse-Leveraged ETFs

Safirstein Metcalf LLP and the Law Office of Kevin Galbraith LLC announce that FINRA has recently fined Oppenheimer & Co. Inc. (Oppenheimer) $2.25 million and ordered the firm to pay restitution of more than $716,000 to affected customers for ...
 International Business Times1 week ago
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Cannabis Sativa, Inc. (CBDS: OTCQB) | FINRA Denies Cannabis Sativa Forward Stock Split

OTC Disclosure & News Service Mesquite, NV - Aug 08, 2016 (MESQUITE, NV / ACCESSWIRE / August 8, 2016 / Cannabis Sativa (otcqb:CBDS) announced today that the Financial Industry Regulatory Authority, Inc. (FINRA) denied the CBDS application for ...
 OTC Markets2 weeks ago FINRA Denies Cannabis Sativa Forward Stock Split  Stockwatch2 weeks ago CANNABIS SATIVA INC : FINRA Denies Cannabis Sativa Forward Stock Split  4 Traders2 weeks ago
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