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About 802 results for "finra"

FINRA Warns High-Yield CD Offers Can Be Bait for High-Commissi...

Advertisements touting higher-than-average CD yields might actually be a lure to trick investors into buying costly investments, the Financial Industry Regulatory Authority said today in a new Investor Alert . In light of today's low interest rates, ... 4 Traders, 19 hours ago
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Huffington Post, 1 week ago
Broadway World

Clean Energy Technologies, Inc. Announces FINRA Approval of Name Change, Symbol Change

COSTA MESA, Calif. "The company name change was implemented to more closely and accurately associate the Company's name with the Company's current and future business focus," said Kam Mahdi The Company's recent acquisition of Heat Recovery ...
 Pettinga Financial Advisors19 hours ago CLEAN ENERGY TECHNOLOGIES, INC. : Announces FINRA Approval of Name Change, Symbol Change  4 Traders19 hours ago
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Nasdaq

Stock Market Got You Down? Tips for a Turbulent Market

A well crafted plan and a long-term outlook go a long way when the market is seesawing. FINRA Staff The stock market is off to a rocky start this year. But focusing on your overall financial picture, combined with sound planning, can pay ...
 Motley Fool1 day ago Rattled By the Markets? Consider Spreading Your Bets  WealthManagement.com17 hours ago How is the Dollar Impacting Markets?  Noodls17 hours ago

Lessons for All Investors From FINRA's Senior Hotline

Whether we're in the midst of earnings season or riding out the market's lulls, you want to know the best strategies for your money. And you'll want to go beyond the hype of screaming TV personalities, fear-mongering ads, and "analysis" from ...
 Motley Fool3 days ago

Second Circuit Upholds Pre-Dispute Agreement to Arbitrate before non-FINRA Arbitration Forum

Finding a conflict between FINRA Rule 13200 and a pre-dispute private agreement to arbitrate before a non-FINRA forum, the Second Circuit holds that FINRA Rule 13200 does not prohibit a pre-dispute waiver of a FINRA arbitral forum. Credit Suisse ...
 Lexology6 days ago Law Offices of David Harrison Announce Investors Win and#36;825,000 in FINRA Arbitration for Morgan Stanley Smith Barney's Failure to Properly Conduct Pre-Hiring Due Diligence  SPi World News6 days ago MORGAN STANLEY : Law Offices of David Harrison Announce Investors Win $825,000 in FINRA Arbitration for Morgan Stanley Smith Barneys Failure to Properly Conduct...  4 Traders5 days ago
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FINRA to examine "firm culture" in Wall Street brokerages

The Financial Industry Regulatory Authority (FINRA) said it would examine the "firm culture" at Wall Street brokerages and the factors that influence them. FINRA is concerned about how brokerages take actions to promote fair and ethical treatment of customers ...
 Economic Times1 month ago

SEC Approves FINRA's Funding Portal Rules

On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority's funding portal rules and related forms for entities functioning as SEC-registered funding portals pursuant to Regulation Crowdfunding.
 National Law Review4 days ago

SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers

) - The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2016 Regional Compliance Outreach Programs for Broker-Dealers that will take place in New York, ...
 4 Traders1 week ago
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JA Energy (JAEN: OTC Link/FINRA BB) | Ex-Dividend

OTC Markets | Official site of the OTCQX, OTCQB and OTC Pink Marketplaces featuring Free Stock & Bond Quotes, Trade Prices, Chart, Financials and Company News & Information for Investors, Companies and Traders - OTCMarkets.com
 OTC Markets1 day ago
AdvisorOne

FINRA: Broker Lied to Native American Tribe About Nontraded REIT Commissions

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. February 8, 2016 Broker regularly lied ...
 AdvisorOne1 day ago
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