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About 801 results for "finra"

During Open Enrollment, Be Open to Retirement Saving Opportunities

FINRA, SEC Renew Focus on Senior Investors in Immediate Afterm...

I. Highlights from FINRA/SIFMA Senior Investor Conference On October 22-23, members of the securities industry, academia, regulators, and public policy experts gathered in Washington, D.C., at the joint Financial Industry Regulatory Authority ... JD Supra, 46 minutes ago
SEC Approves FINRA's Plan to TRACE U.S. Treasuries Financial Technologies Forum, 3 hours ago

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Time, 5 days ago, 1 week ago
Insurance News Net, 1 week ago
The Fiscal Times, 4 days ago, 1 week ago
SPi World News, 1 week ago
The Trade News, 1 week ago
AdvisorOne, 1 week ago
Federal Register, 2 weeks ago
Federal Register, 2 weeks ago

BANDAI NAMCO : AML Audits for Broker Dealers

Low-cost AML Audits for FINRA Broker Dealers Our AML Audits for FINRA member Broker Dealers starting at $900 -- Paul McIntyre NAPLES, FLORIDA, USA, October 25, 2016 / -- NAMCO AML announces new low-cost pricing for FINRA Member ...
 4 Traders23 hours ago FINRA Blasted for Not Fixing Broken BrokerCheck  AdvisorOne5 days ago Lawyers: FINRA Still Hasn't Fixed BrokerCheck  WealthManagement.com5 days ago PIABA: FINRA Spent Millions Of Dollars Hyping "Broken" BrokerCheck System Rather Than Fixing It  TickerTech.com6 days ago

SEC DeskTop for FINRA Rules 3220, 3221 and 3222

Compliance Software & Services make the capture and review process as simple as possible, 17a-4 has developed its FINRA 3220 module of the SEC DeskTop. Millbrook, NY (PRWEB) October 26, 2016 FINRA Regulatory Notice 16-29 ...
 PRWeb10 hours ago FINRA to Overhaul Gifts, Non-Cash Compensation, and Business Entertainment Rules  Carlton Fields4 days ago

Morgan Stanley's investment unit settles with FINRA for $2.2 mln

Oct 17 (Reuters) - Morgan Stanley Smith Barney LLC said it would pay a fine of $2.2 million to the Financial Industry Regulatory Authority (FINRA), after the regulatory body alleged that the firm submitted millions of inaccurate reports to the ...
 Yahoo! Finance1 week ago Morgan Stanley's Investment Unit Agrees $2.2m Settlement with FINRA  Forex Magnates1 week ago

US Securities Information Processor migrates to new Nasdaq platform

The Unlisted Trading Privileges (UTP) Operating Committee, comprised of exchanges, FINRA and financial industry advisors, today announced the migration of the Securities Information Processor (SIP) to a new system using INET technology for UTP data ...
 Finextra Research2 days ago Securities Information Processor (SIP) Migrates to the Nasdaq Financial Framework and INET Technology  BioSpace2 days ago

Federal Reserve Board Eyes FINRA as Secondary Market Data Collection Agent

The Federal Reserve Board aims to gather data from banks for secondary market transactions in U.S. Treasury securities and conduct negotiations with the Financial Industry Regulatory Authority which will serve as the board's collection agent. FRB ...
 Executive Gov2 days ago Federal Reserve Board looks to collect Treasury transaction data for FINRA  The Trade News2 days ago Federal Reserve Board announces plans to enter negotiations with FINRA to potentially act as collection agent of U.S. Treasury securities secondary market transactions data  Foreign days ago Fed to collect securities market data from banks  Bankers Online2 days ago
The Trade News

FINRA Fines Broker $2.8M for Audit Trail Violations

SHARE THIS STORY Officials at Merrill Lynch, Pierce, Fenner and Smith (MLPF&S) say they are making changes in the wake of the charges. Broker-dealer Merrill Lynch, Pierce, Fenner and Smith (MLPF&S) will be paying a $2.8 million fine to ...
 Financial Technologies Forum6 days ago Merrill Lynch fined by FINRA for reporting violations  Private Banker International1 week ago Merrill Lynch fined $2.8 million by FINRA for trade reporting violations  LeapRate1 week ago

Israels & Neuman, PLC files FINRA Arbitration Claim Against First Financial Equity Corp. Related to Investment in TMAC and Representative Robert Kerrigan

SEATTLE, Oct. 19, 2016 /PRNewswire-USNewswire/ -- Israels & Neuman, PLC announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against First Financial Equity Corp. of Scottsdale, Arizona on behalf of an ...
 TickerTech.com1 week ago

Shutts & Bowen Adds Former FINRA Senior Enforcement Attorney Kevin D. Rosen as...

Kevin D. Rosen, a former senior securities regulatory enforcement attorney, joins Shutts & Bowen as a partner in its Financial Services practice group in the firm's Miami office. Shutts & Bowen Adds Former FINRA Senior Enforcement Attorney Kevin ...
 Freshnews.com1 week ago

How to Answer When FINRA Knocks on Your Door

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. By Bill Mariano October 26, 2016 ...
 AdvisorOne15 minutes ago FINRA Close to Filing Fraud Rule for Vulnerable Investors  AdvisorOne6 days ago
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