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About 800 results for "finra"

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule To Prohibit Disruptive Quoting and Trading Activity and Allow the Exchange To Take Prompt Action
Federal Register

PF HOSPITALITY GROUP, INC. : Other Events (form 8-K)

Item 8.01. Other Events. Effective as of September 23, 2016, the Financial Information Regulatory Association, Inc. (FINRA) approved the Company's name change from PF Hospitality Group, Inc. to EXOlifestyle, Inc. The Company's ticker symbol on ... 4 Traders, 17 hours ago
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AdvisorOne

FINRA Fines Avenir Financial $229K and Bars Ex-CEO on Fraud Charges

SHARE THIS STORY The regulator has banned the firm's executives and the firm from doing business. A Financial Industry Regulatory Authority (FINRA) hearing panel has fined New York-based Avenir Financial Group $229,000 for misconduct ...
 Financial Technologies Forum1 day ago FINRA Fines, Suspends Avenir Financial Group, Bars Former CEO  AdvisorOne1 week ago One Small-Firm Industry Governor Elected to FINRA Board, Two New Governors Appointed  Business Wire1 week ago FINRA Hearing Panel Sanctions Avenir Financial Group and Bars Former CEO Michael Todd Clements for Fraud  4 Traders1 week ago
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Generational Capital Markets Announces Acquisition Rountree-Moore Motors By Morgan Auto Group

Generational Capital Markets, Inc., member FINRA/SIPC, ("GCM") an advisor to privately held businesses for mergers & acquisitions, is pleased to announce the acquisition of its client, Rountree-Moore Motors, headquartered in Lake City, Florida, by ...
 Automotive Technology4 hours ago US Capital Engaged on Growth Equity Investment for Dictum Health, Inc.  BigNews.biz8 hours ago
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Triloma Securities Names Sara Searle as Chief Compliance Officer

Comments September 28, 2016 - ORLANDO, FL ORLANDO, FL--(Marketwired - September 28, 2016) - Triloma Securities, a FINRA registered broker-dealer and subsidiary of alternative investment management firm Triloma Financial Group, announced today the ...
 AndhraNews.net23 hours ago
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DRESNER PARTNERS : Adds Florida Office

- Dresner Partners, a leading FINRA-registered, middle-market investment bank focused on mergers and acquisitions, as well as capital raising and valuations to closely-held, family-owned and sponsor-backed companies for over 25 years, announced ...
 4 Traders1 day ago Dresner Partners Adds Florida Office  Sys-Con Italia1 day ago
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Soreide Law Group Files a Second FINRA Arbitration Claim on behalf of Customers of Wells Fargo Financial Advisor John B. Leonard (AKA Brad Leonard): Case #16-01730

PRWeb 2016-09-23 Soreide Law Group filed a second FINRA claim on behalf of clients who suffered investment losses under Wells Fargo financial advisor John Leonard AKA Brad Leonard Toledo, Ohio (PRWEB) September 23, 2016 Chillicothe and ...
 BizWire Express6 days ago
Nasdaq

Finra Board Seat Goes to Ex-Bear Stearns Partner in Tight Race

The chief executive officer of a San Francisco investment bank prevailed in a hard-fought election to join the board of Finra, the front-line regulator of stockbrokers, knocking off an incumbent and a well-known challenger who campaigned on the ...
 4 Traders1 week ago Ex-Bear Stearns Partner Pledges To Make FINRA Great Again  Dealbreaker1 week ago
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Nasdaq

What Advisors Need to Know About the Broker Disclosure Rule

As of November 11 of this year, the long expected SEC approved FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) will take effect. This pronouncement will make it mandatory for an advisor who ...
 Nasdaq5 days ago Retirement Plan Documentation and Prudent Recommendation: Interesting Angles on the DOL's Fiduciary Rule #21  National Law Review15 hours ago What You Should Know About the DOL Fiduciary Rule  Nasdaq1 day ago What You Should Know About the New Fiduciary Rule  Investopedia2 days ago

Client wins $262K arbitration award from Wells Fargo

A FINRA arbitration panel has ordered Wells Fargo Advisors to pay a former client more than $262,000 for failing to promptly liquidate his brokerage account, according to a recent FINRA filing and details provided by the client's lawyer. Jeffrey ...
 Bank Investment Consultant17 hours ago
Federal Register

Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to FINRA Rule 2030

Start Preamble . Order. The Securities and Exchange Commission (Commission or SEC) is issuing an order finding that Financial Industry Regulatory Authority (FINRA) rule 2030 (the FINRA Pay to Play Rule) imposes substantially equivalent or more ...
 Federal Register1 day ago
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