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About 804 results for "finra"

Wittybee Launches Compliance-Ready Enterprise Collaboration Solution January 18, 2017Packaged as the Enterprise Plan, Wittybee's deployments are now offered as compliant to HIPPA, FINRA, SSAE16, FDA and EUDPD requireme​nts.
PRWeb

Wittybee Launches Compliance-Ready Enterprise Collaboration So...

Packaged as the Enterprise Plan, Wittybee's deployments are now offered as compliant to HIPPA, FINRA, SSAE16, FDA and EUDPD requirements. New York, NY (PRWEB) January 18, 2017 Enterprise collaboration provider, Wittybee, Inc. today announced ... Benzinga.com, 1 hour ago
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218 images for finra

Post Online Media, 5 days ago
Bond Buyer, 1 week ago
BizTimes Milwaukee, 9 hours ago
Freshnews.com, 2 days ago
Carlton Fields, 5 days ago
Federal Register, 5 days ago
RIABiz, 1 week ago
News-me.com, 3 weeks ago
AdvisorOne, 3 weeks ago
Investing.com, 3 weeks ago

2017 Financial Industry Regulatory Priorities - OCIE and FINRA Announce Examination Areas of Focus

Business Litigation & Special Matters and Government Investigations Practice Groups January 17, 2017 2017 Financial Industry Regulatory Priorities OCIE and FINRA Announce Examination Areas of Focus In early January, both the SEC's Office of ...
 JD Supra10 hours ago FINRA and JPMorgan go after whistleblower for $624 (not a typo) loss  Financial-Planning Interactive5 days ago FINRA's Regulatory and Examination Priorities of 2017  JD Supra6 days ago Top FINRA Priorities for 2017  JD Supra1 week ago
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BizTimes Milwaukee

FINRA orders Baird to pay $23.5 million

Milwaukee-based Robert W. Baird & Co. Inc. has been ordered by the Financial Industry Regulatory Authority to pay $23.5 million to Wells Fargo Advisors LLC for raiding brokers from Wells Fargo's Wichita, Kansas office and hiring them on at Baird. ...
 BizTimes Milwaukee9 hours ago Wells Fargo wins over $22M in rare raiding case against Baird  On Wall Street13 hours ago FINRA orders UBS to pay another $18M in different Puerto Rico bonds case  On Wall Street4 days ago Florida Attorney Lloyd R. Schwed Announces That A FINRA Arbitration Panel Orders UBS Financial Services To Pay $18.2 Million Award, Including $4 Million In Punitive Damages, In Record-Setting Arbitrat  Minyanville5 days ago
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ABCO Energy, Inc. (ABCED: OTCQB) | ABCO Energy announces FINRA approval of 1 for 10 reverse stock split

ABCO Energy announces FINRA approval of 1 for 10 reverse stock split Jan 17, 2017 OTC Disclosure & News Service Tucson, AZ This release includes additional documents. Select the link(s) below to view. ...
 OTC Markets15 hours ago American Seniors Association Holding Group Inc. Announces Reverse Stock Split  Yahoo! Finance1 week ago Cowen announces reverse stock split  PredictWallStreet3 days ago
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Soreide Law Group files a FINRA Arbitration Claim Against Former...

Two retirees hired the securities arbitration law firm Soreide Law Group to recover their $300,000 in losses from former Raymond James broker Scott Allen Sibley (Sibley). The Claimants accounts were heavily concentrated in gold miners, precious ...
 PRWeb1 week ago
Freshnews.com

AdvisorVault's Best Practice for SEC Rule 17a-4: A Guide for Small FINRA Firms

 Minyanville3 days ago
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FinRegAlert.com

Aspen Group Inc. (ASPU: 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 - OTCMarkets.com
 OTC Markets1 week ago Bond Market Structure: Transformational in 2017  FinRegAlert.com15 hours ago Let the Bond Times Roll  Bloomberg17 hours ago OTC Markets Group Inc. (OTCM: OTCQX U.S. Premier) | OTC Markets Group Welcomes InPlay Oil Corp. to OTCQX  OTC Markets22 hours ago
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Federal Register

FINRA's Most Significant 2016 Enforcement Actions

The Financial Industry Regulatory Authority (FINRA) , the self-regulatory organization for broker-dealers, brings about 1,500 enforcement actions a year. Often lost in the volume of actions, however, are the ones that merit particular attention ...
 National Law Review4 days ago Self-Regulatory Organizations; NYSEArca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio  Federal Register3 days ago Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)  Federal Register6 days ago

Is It Safe? Limits of Safe Harbor for Temporary Holds on Senior Investor Transactions Under Proposed FINRA Rule 2165

I. Introduction In addition to the recent increase in regulatory focus on senior investors,1 earlier this fall, the Financial Industry Regulatory Authority (FINRA) filed a rulemaking proposal (the filing) with the Securities and Exchange Commission ...
 JD Supra4 days ago
Carlton Fields

Cybersecurity Still Top FINRA Operational Risk

On January 4, the Financial Industry Regulatory Authority (FINRA) published its annual Regulatory and Examination Priorities Letter providing firms with information about areas FINRA plans to review in 2017 as well as observations resulting from ...
 Carlton Fields5 days ago FINRA Focus on Cybersecurity Continues  JD Supra1 week ago FINRA fines again target financial firms for failure to follow regs  JD Supra1 week ago FINRA Seeks Clean Sweep of Abusive Cross-Selling Practices  JD Supra1 week ago
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