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About 802 results for "finra"

SR-FINRA-2016-015

Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset. Financial Industry Regulatory Authority, Inc. (FINRA) is ... FINRA, 2 hours ago
AdvisorOne

FINRA Levies Its Largest VA-Related Fine Against MetLife Securities

MetLife Securities was hit with a $20 million fine by FINRA. Largest FINRA Fine Relating to Variable Annuities WASHINGTON--(BUSINESS WIRE)-- The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife ...
 Insurance News Net9 hours ago FINRA Sanctions MetLife Securities, Inc. $25 Million for Negligent Misrepresentations and Omissions in Connection With Variable Annuity Replacements  4 Traders10 hours ago FINRA Sends Market Manipulation Report Cards  AdvisorOne1 day ago Finra Announces New OTC Equity Trading Data Available  Markets Media Online1 day ago
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Automnews.com

MetLife Faces Record Finra Fine for Misleading Annuity Customers

Insurer pays $25 million, largest variable annuity penalty Company is fully reserved for the matter, spokesman says MetLife Inc. agreed to pay $25 million to settle a probe of abuses tied to variable annuities, the highest-ever penalty for ...
 Bloomberg8 hours ago MetLife faces record fine for misleading annuity customers  Automnews.com2 hours ago

Bridging the Week - May 2016

FINRA Hands Out Report Cards on Potential Spoofing and Layering: The Financial Industry Regulatory Authority said that it issued its first cross-market equities report cards aimed at helping member firms identify potential spoofing and layering ...
 JD Supra1 hour ago FINRA Hands Out Report Cards on Potential Spoofing and Layering  Lexology1 day ago FINRA's First Report Cards on Spoofing and Layering  24/7 Wall St5 days ago FINRA rolls out spoofing and layering report cards  The Trade News5 days ago
Nasdaq

MetLife Securities to Pay $25M to FINRA Over Negligent VA Replacements

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. May 3, 2016 Misstatements led customers ...
 AdvisorOne5 hours ago MetLife to Pay $25 Million Finra Penalty Over Variable Annuities  Nasdaq9 hours ago 5 Things to Know About MetLife's Settlement  Yahoo! Finance UK and Ireland4 hours ago MetLife to pay US$25 million over variable annuities  Investment Executive7 hours ago
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Reuters UK

Stock Update: MetLife Inc (NYSE:MET) MetLife to pay $25 mln for annuity sales violations-FINRA

[Reuters] The Financial Industry Regulatory Authority (FINRA) has sanctioned MetLife Securities Inc. $25 million in connection with variable annuity sales, the regulator said on Tuesday. The sanction, agreed to in a settlement, includes a $20 ...
 BioSpace9 hours ago MetLife to pay $25 mln for annuity sales violations-FINRA  Sharenet10 hours ago UPDATE 1-MetLife to pay $25 mln for annuity sales violations-FINRA  Reuters UK7 hours ago MetLife to pay $25 million for annuity sales violations: FINRA  The World 247.com8 hours ago
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Federal Court Rejects Broker-Dealer's Challenge to FINRA's Authority to Commence Disciplinary Action

A federal court in Maryland dismissed a challenge by Scottsdale Capital Advisors Corporation, a Securities and Exchange Commission-registered broker-dealer, and certain of its senior officers, that FINRA had no jurisdiction to bring a disciplinary ...
 Lexology1 day ago SEC Claims Broker-Dealer's Attempt to Escape FINRA Disciplinary Action is Untimely  Lexology1 week ago

Online Arbitration Claim Filing

FINRA Dispute Resolution has recently improved its system. Any party may submit an arbitration claim using the online system. The online arbitration claim filing system is a fast, convenient, and efficient way to file an arbitration claim. The ...
 FINRA4 days ago Fitapelli Kurta Files Arbitration Claim Involving Merrill Lynch Advisor Jacquin Fink  4 Traders4 days ago
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A Fake Suicide Note as Evidence? It's Not Kafka, It's Finra

Ask a shill for the securities industry to defend the practice of forcing investors to use industry-run arbitration when they have a gripe with their brokers, and you will hear something like this: Arbitration is great for brokers and investors ...
 TheStreet.com4 days ago

FINRA Permits ATSs to Apply for Exemptions From TRACE Reporting

The Financial Industry Regulatory Authority has adopted new Rule 6732, which allows an alternative trading system (ATS) to apply for an exemption from the Trade Reporting and Compliance Engine (TRACE) trade reporting obligations under Rule 6730.
 National Law Review4 days ago Securities Docket News Wire for April 27, 2016  Securities Docket5 days ago New FINRA requirement for algorithmic traders  Hedge Fund Journal6 days ago FINRA Expands Focus on Algorithmic Trading With New Registration Requirements  Lexology1 week ago
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