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About 803 results for "finra"

Finra Dismisses Aeela's $70-Million Claim Against UBS
Caribbean Business Online

FINRA Charges Lawson Financial with Securities Fraud

The Financial Industry Regulatory Authority (FINRA) has filed a disciplinary complaint against Phoenix-based Lawson Financial Corp. Inc. (LFC) and Robert Lawson, LFC's president and CEO, charging them with securities fraud in connection with the ... Financial Technologies Forum, 2 days ago
Finra Dismisses Aeela's $70-Million Claim Against UBS Caribbean Business Online, 3 days ago

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FINRA's Ketchum Warns on Dangers of Poor Firm Culture

FINRA CEO Richard Ketchum, left, and FSI CEO Dale Brown. The Financial Industry Regulatory Authority will continue to put a firm's culture "front and center," the self-regulator's CEO, Richard Ketchum warned Monday, stressing that from an exam ...
 AdvisorOne3 days ago FINRA Files Complaint Charging Lawson Financial Corporation, CEO With Fraudulent Municipal Bond Sales, and Charging CEO With Misuse of Customer's Charitable Trust Funds  CNBC1 week ago FINRA Levies $17 Million Fine On Raymond James For AML Compliance Failures  Forex Magnates1 week ago FINRA Fines Raymond James $17 Million for Systemic Anti-Money Laundering Compliance Failures  CNBC1 week ago

It's Time for Your Finra Hearing. Do You Know Who Your Arbitrator Is?

Who gets to judge? The question is critical whenever a tribunal is given wide latitude to make decisions affecting life, liberty or property. But in the case of Financial Industry Regulatory Authorityarbitrations -- where the adjudicators have ...
 TheStreet.com2 days ago

IEX exchange bid should be judged on its own merits - FINRA chief

By John McCrank NEW YORK (Reuters) - A proposal to let U.S. stock exchanges delay order responses by less than a millisecond will likely move ahead, paving the way for "Flash Boys" heroes IEX Group to become an exchange, the head of Wall Street's self-funded ...
 Sify4 weeks ago

GC Securities* Completes Catastrophe Bond Queen Street XII Re dac on Behalf of Munich Re

] GC Securities, a division of MMC Securities LLC, a U.S. registered broker-dealer and member FINRA /NFA/ SIPC , today announced the placement of a single class of Principal At-Risk Variable Rate Notes ("Notes") with a principal amount of USD ...
 TMC Net2 days ago MARSH & MCLENNAN : GC Securities* Completes Catastrophe Bond Queen Street XII Re dac on Behalf of Munich Re  4 Traders2 days ago CORRECTING and REPLACING GC Securities* Completes Catastrophe Bond Queen Street XII Re dac on Behalf of Munich Re  Yahoo! Finance UK and Ireland2 days ago
Reuters UK

Market surveillance a constant challenge -FINRA

(For other news from the Reuters Financial Regulation Summit, click on By Chuck Mikolajczak NEW YORK, May 17 (Reuters) - Surveillance of markets for illegal trading practices has become more ...
 Sharenet1 week ago REUTERS SUMMIT-Market surveillance a constant challenge -FINRA  Reuters UK1 week ago

Valeritas Holdings, Inc. (CYGMD: OTC Link/FINRA BB) | OTCQB Certification

05:08 - Valeritas Holdings, Inc. ( CYGMD : OTC Link/FINRA BB) released their OTCQB Certification concerning OTCQB Certification. To read the complete report, please visit:
 OTC Markets7 hours ago

FINRA Proposes Amendments to its New Debt Research Rule

To embed, copy and paste the code into your website or blog: On May 24, 2016, FINRA proposed amendments to its new debt research rule (Rule 2422). The amendments are intended to clarify Rule 2422 in four respects: (1) the consent requirement for ...
 JD Supra15 hours ago

FINRA Announces Rule 2273, Requiring Broker's New Firm to Send Educational Communication to Broker's Customers Before Transfer of Customer's Assets to New Firm

FINRA has issued a regulatory notice (RN 16-18) regarding new Rule 2273 , which requires member firms, when hiring a new broker from the competition, to send an educational communication to that broker's customers if and when those customers move ...
 National Law Review18 hours ago SEC Approves FINRA Rule 2273  JD Supra2 days ago SEC Approves FINRA's Educational Communication Rule  JD Supra3 days ago

The Cost of Compliance

FINRA released advance warning of their 2016 priorities for broker-dealers with its latest Regulatory and Examinations Priorities Letter earlier this year, highlighting data quality and governance as primary areas of concern. But many firms are ...
 Disaster Recovery Journal1 day ago
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