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About 804 results for "finra"

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Box announces FINRA compliance and file-retention features in financial-services push

Cloud file sharing company Box today is introducing new features that financial services companies should welcome. The company is introducing support for watermarks, the ability to set policies on how long files can be stored on Box, and compliance ...
 Austin American Statesman1 day ago

FINRA Investor Education Foundation and United Way Grant $1.5 Million for Financial Education

For Release: Contact:February 23, 2015 George Smaragdis, FINRA Foundation (202) 728-8988 Eileen Lin, United Way Worldwide (703) 836-7112 x279 WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and ...
 FINRA3 days ago

Goldman must pay two brokers $7.6 mn for wrongful termination: FINRA

The brokers, Christopher Barra and Luis Sampedro, who worked as a team at Goldman for nine years until 2007, filed the case in 2010. The award, ordered on Friday by a Financial Industry Regulatory Authority (FINRA) arbitration panel, exceeds the $7 million ...
 Economic Times2 months ago Goldman Sachs must pay two brokers $7.6 million for wrongful termination: FINRA panel  Economic Times2 months ago

Secure Your Independence with Cambridge Investment

Securities offered through Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC. Advisory services through Cambridge Investment Research Advisors, Inc., a Registered
 AdvisorOne34 minutes ago 5 Things You Should Know about Securities Professionals  FINRA1 day ago

Brista Corp. (BRTS: OTC Link/FINRA BB) | Deleted Symbol

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 - ...
 Pink Sheets4 days ago Allegheny Valley Bancorp, Inc. (AVLY: OTCQX U.S. Premier) | OTC Markets Group Welcomes Allegheny Valley Bancorp to OTCQX®  Pink Sheets3 hours ago Aim Exploration Inc. (AEXE: OTCQB) | OTC Markets Group Welcomes Newly Verified OTCQB Companies Feb. 27  Pink Sheets3 hours ago International Isotopes, Inc. (INIS: OTCQB) | OTC Markets Group Welcomes Newly Verified OTCQB Companies Feb. 27  Pink Sheets3 hours ago

FINRA Issues Guidance on Materiality Consultations - Financial Industry Regulatory Authority

The Overview addresses, among other things, categories of information and other factors that firms should consider when assessing materiality of prospective business initiatives. Broker-dealers often ask us whether they must seek approval from ...
 National Law Review2 days ago

FINRA Issues its Cybersecurity Report, Providing Tools and Encouragement to Broker-Dealers

FINRA recently issued a Report on Cybersecurity Practices (Report) , growing out of its targeted examination of firms last year. To issue the Report, FINRA gave careful consideration to the needs of many broker-dealers for information and the tools ...
 JD Supra1 day ago
Crowdfund Insider

Lock it up: SEC & FINRA Weigh in on Cybersecurity Issues

Early in 2014, the U.S. Securities and ExchangeCommission's Office of Compliance Inspections and Examinations (OCIE) announced its intention to conduct an examination of certain registered broker-dealers and investment advisers in order to assess ...
 Crowdfund Insider3 days ago

What Threats Can Muffle a Corporate Action? FINRA May Rely on SEC Enforcement Proceedings

In a pair of recent opinions, the Securities and Exchange Commission (SEC) found that FINRA acted within the scope of its rules and governing statutory scheme in refusing to announce corporate actions for companies whose executives were subjects of ...
 National Law Review4 days ago
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