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About 807 results for "finra"

AxiomSL Bid for the Consolidated Audit Trail (CAT) is Shortlis...

The national securities exchanges and FINRA (collectively, the self-regulatory organizations, or SROs) have selected six bids from the list of ten RFP responses that were submitted to build and maintain the Consolidated Audit Trail (CAT). The six ... Bobsguide, 11 hours ago

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SEC approves FINRA Rule to prohibit conditioning customer settlements on expungement

On July 23, FINRA announced that the SEC approved a new rule prohibiting FINRA-supervised firms and registered representatives from conditioning settlement of a customer dispute on—or otherwise compensating a customer for—the customer's ...
 Lexology1 day ago SEC Approves FINRA Rule Limiting Expungement  JD Supra7 hours ago SEC Approves Amended FINRA Rule 2081 Prohibiting Settlements Conditioned on Expungement  JD Supra4 days ago SEC OKs FINRA Rule on Expungement of Broker Black Marks  AdvisorOne5 days ago
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FINRA Approves SW Innovative Holdings Name Change

SW Innovative Holdings reported that FINRA has approved its application to change its name and trading symbol. In its release dated July 23, the Company said the new trading symbol is "SWHI." The Company's Shareholders, by majority consent, approved ...
 Individual.com1 day ago Transnational Group, Inc. (TAMG: OTC Pink Current) | FINRA confirms corporate name change  Pink Sheets1 day ago Transnational Group Announces FINRA Approval of Corporate Name Change  Fat Pitch Financials5 days ago Capsalus Corp. Changes Name To foru Holdings, Inc. And Announces 1-for-165 Reverse Split of Common Stock  Red Orbit11 hours ago
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A Deeper Dive Into My FINRA Short Report Analysis

Most of my readers know that I keep close tabs on FINRA's Daily Short Sale Volume reports for Axion Power International ( OTCQB:AXPW ) but they don't know why I think the statistics matter. Today I'll try to explain how I use the FINRA short volume ...
 Seeking Alpha2 days ago

Monitoring for Insider Trading and Understanding FINRA's Regulatory Tip Process

During this free, 60-minute webinar, FINRA senior staff discuss handling fraud-related matters. From insider-trading inquiries to investigations of customer complaints and whistleblower tips, youll hear examples and cases from FINRA's Office of ...
 FINRA6 days ago

SIFMA Submits Comments to the Securities and Exchange Commission on FINRA's Arbitrator Definition

Downloa
 SIFMA Foundation4 days ago SEC asks exchanges, FINRA to submit 'tick size' pilot plan  Economic Times1 month ago US Securities and Exchange Commission asks exchanges, FINRA to submit 'tick size' pilot plan  Economic Times1 month ago A Nickel for Your Thoughts: The SEC Tick Size Pilot Program  Tabb Forum11 hours ago
Times of India

Wall St watchdog FINRA moves to cloud, big data

FINRA began using cloud computing at the beginning of this year in a roughly 30-month roll-out that will save FINRA $10 million to $20 million annually.
 Times of India1 month ago

Crown Baus Capital Receives FINRA Approval for Name Change, New CUSIP; Crown Baus Continues to Trade Under the Symbol CBCA

Crown Baus Brings Three Key Executives to the Forefront of VP Operations BEVERLY HILLS, Calif., July 25, 2014 /PRNewswire via COMTEX News Network/ -- Cannabis Capital Corp. (OTCBB: CBCA) is a global acquisition-based conglomerate targeting five ...
 PredictWallStreet4 days ago CROWN BAUS CAPITAL : Receives FINRA Approval for Name Change, New CUSIP; Crown Baus Continues to Trade Under the Symbol CBCA  4 Traders4 days ago
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iGo Reports FINRA Approval of Reverse/Forward Stock Splits

iGo, Inc. reported that it has received approval from the Financial Industry Regulatory Authority ("FINRA") clearing the reverse and forward stock splits of the Company's common stock previously approved by its stockholders and announced on June 25 ...
 4 Traders6 days ago

VA Switches: FINRA Disciplinary Action Reminds Firms About the Need for Adequate Supervisory Procedures

In a case involving unsuitable variable annuity (VA) transactions, FINRA found that having good procedures and discovering improper conduct are not enough. A member firm must also ensure that it has adequate supervisory systems in place to ensure ...
 JD Supra4 hours ago
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