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About 808 results for "finra"

SEC, FINRA Enforcement: Citi Global Markets Fined $2 Million
AdvisorOne

SEC, FINRA Enforcement: Citi Global Markets Fined $2 Million

This copy is for your personal, non-commercial use only. To order presentation-ready copies for distribution to your colleagues, clients or customers, click the "Reprints" link at the bottom of any article. August 28, 2014 Citi Global Markets ... AdvisorOne, 3 days ago
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57 images for finra

Forex Magnates, 6 days ago
advisor.ca, 6 days ago
AdvisorOne, 3 days ago
San Diego Reader, 1 week ago
Asset Servicing Times, 5 days ago
AdvisorOne, 2 weeks ago
SPi World News, 1 week ago
LifeHealthPro, 6 days ago
Forbes.com, 1 week ago
Seeking Alpha, 2 weeks ago

New warnings for investors about "viral stocks"

The Financial Industry Regulatory Authority (FINRA) issued an alert warning investors about stock scams tied to news coverage of such diseases as Ebola and Middle East Respiratory Syndrome (MERS). The scams typically involve the con artist trying ...
 CBS News3 days ago

FINRA Rules 12300 and 13300 amended to prevent disclosure of PCI in arbitration

FINRA's Concern About Disclosure Of PCI In Arbitration It is not uncommon for parties to an arbitration proceeding to provide FINRA with pleadings or other documents that contain an individual's Social Security number, taxpayer identification ...
 Lexology5 days ago

How Will This FINRA Penalty Affect Citigroup (C) Stock Today?

08/26/14 - 10:56 AM EDT NEW YORK ( TheStreet ) -- Citigroup ( C ) rose Tuesday after theFinancial Industry Regulatory Authority demanded the bank pay a $2.5 million in fines and restitution. FINRA said Citigroup'smarkets unit did not give ...
 TheStreet.com6 days ago Citigroup Fined $1.85M by FINRA for Bad Pricing & Neglig…  Zacks.com5 days ago
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LifeHealthPro

Unfazed by Finra Charges, Seniors Still Swoon for David Lerner Pitch

This article was originally posted on TheStreet Foundation Web site on August 25. NEW YORK (TheStreet) -- It's all about suiting the spin to the audience when you're in the financial industry, and the investment seminar at the Trumbull, Conn.
 TheStreet.com1 week ago
SPi World News

Newnote Financial Corp. Receives US Trading Symbol NWWTF from FINRA and to Commence Trading in the USA

VANCOUVER, British Columbia--( BUSINESS WIRE )--Newnote Financial Corp. (the Company) (CSE: NEU; FSE: 1W4 ) is pleased to announce shares of the Company have commenced trading on the OTC Pink Sheets under the symbol NWWTF. Paul ...
 Business Wire1 week ago NEWNOTE FINANCIAL : Receives US Trading Symbol NWWTF from FINRA and to Commence Trading in the USA  4 Traders1 week ago
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Consolidation Services, Inc. Submits Application with FINRA for Name...

The name Mongolia Holdings, Inc. better differentiates the Company's brand and highlights its focus on business opportunities in the rapidly developing nation of Mongolia. Consolidation Services, Inc. (the "Company") (OTCQB: CNSV) is pleased to ...
 PRWeb1 week ago
The Trade News

10 Words That Could Sink the Tick Pilot

The tick pilot proposal submitted to the SEC by the exchanges and FINRA expands the scope of the trade-at requirement in what looks to be an obvious attempt on the part of the exchanges to promote their
 Tabb Forum4 days ago SEC slips trade-at into tick pilot  The Trade News4 days ago FINRA and Exchanges Submit Tick Size Pilot Plan  JD Supra5 days ago SEC asks exchanges, FINRA to submit 'tick size' pilot plan  Economic Times2 months ago
Times of India

Wall St watchdog FINRA moves to cloud, big data

FINRA began using cloud computing at the beginning of this year in a roughly 30-month roll-out that will save FINRA $10 million to $20 million annually.
 Times of India2 months ago

Forum Selection Clause Supersedes Right to FINRA Arbitration: Second Circuit

, in Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority , the US Court of Appeals for the Second Circuit held that the forum selection clauses in the parties' broker-dealer contracts superseded any right to Financial Industry ...
 Practical Law Company5 days ago Second Circuit Rules Broad Forum Selection Clause Trumps FINRA Rule Requiring Arbitration  JD Supra6 days ago
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