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About 803 results for "finra"

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine
Federal Register

How FINRA Recovered $96.6M for American Investors in 2015

In a Nutshell: The Financial Industry Regulatory Authority (FINRA) protects investors from unethical practices by enforcing rules that govern the activity of over 640,000 brokers from nearly 4,000 securities firms. A financial watchdog, the ..., 12 hours ago
Regulatory Notice 16-25 FINRA, 3 days ago

249 images for finra, 5 days ago
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Fast Company, 1 week ago
AdvisorOne, 2 weeks ago

FINRA fines Prudential Financial VA unit

Prudential Tower, known colloquially at "The Pru," looms large over downtown Boston. (Photo: iStock) WASHINGTON —A variable annuities distribution unit of Prudential Financial has been fined $950,000 for alleging failing to detect and prevent a ...
 LifeHealthPro6 days ago FINRA sanctions annuity firm for failing to prevent theft  Investment Executive6 days ago FINRA Fines Prudential Annuities Distributors, Inc. $950,000 for Failing to Prevent Theft of $1.3 Million From Elderly Customer's Variable Annuity Account  Minyanville6 days ago FINRA Elects John J. Brennan as Board of Governors  RFPConnect1 week ago

Finra Poll: Personal Finances Improve but American Knowledge Falls Short

Overthe past decade, Americans gota crash course in money management. The financial crisis and the great recession offered a ton of lessons — the dangers of debt being abigone — while making it impossible to ignore the topic of finance. ...
 NewsMax.com5 days ago What you think you know about money, but don't, can hurt you  Economic Times2 days ago Guess Who Just Got Smarter About Money?  Uncommon Wisdom Daily5 days ago Are Americans Finally Getting Smarter About Money?  Bloomberg5 days ago

FINRA board approves filing on U.S. bond data plan

(Adds Treasury Dept statement, background) NEW YORK, July 15 (Reuters) - The Financial Industry Regulatory Authority said on Friday its board has authorized the Wall Street-funded watchdog to file a proposed amendment with regulators requiring ...
 Yahoo! Finance1 week ago UPDATE 1-FINRA board approves filing on U.S. bond data plan  Reuters UK1 week ago

IEX exchange bid should be judged on its own merits - FINRA chief

By John McCrank NEW YORK (Reuters) - A proposal to let U.S. stock exchanges delay order responses by less than a millisecond will likely move ahead, paving the way for "Flash Boys" heroes IEX Group to become an exchange, the head of Wall Street's self-funded ...
 Sify2 months ago

Surety Capital Announces Plans to Go Private Upon a Reverse Stock Split

- Surety Capital Corp. (OTC PINK: SRYP) announced on July 22, 2016 its Board of Directors, shareholders and FINRA had approved a plan whereby substantially all of its stockholders would be eliminated through a reverse split of 1 for 1,500,000 of the ...
 Yahoo! Finance UK and Ireland3 days ago

Regulatory Musical Chairs for Money

The SEC and FINRA continue to play musical chairs with staff resources allocated to examinations of investment advisers and broker-dealers. According to SEC Chair Mary Jo White's remarks at an April 16 SEC Compliance Outreach Program, the SEC now ...
 JD Supra10 hours ago

Finra Sides With Brokers in Battle Against Credit Suisse

In fight for hundreds of millions in deferred compensation, former Credit Suisse brokers can now take their claims to Finra
 Global Advisors3 days ago Did FINRA just open the floodgates to millions in claims against Credit Suisse?  On Wall Street3 days ago

Prepared Remarks of CFPB Director Richard Cordray on FINRA Foundation National Financial Capability Study Release

% of readers think this story is Fact. Add your two cents. It is a real pleasure for me to have the chance to spend some time with you today. I want to begin by thanking Chairman Ketchum, Gerri Walsh, and the rest of the FINRA team for their efforts ...
 Before It's News3 days ago

Pension Income Stream Products Worry FINRA

Some SEC-registered broker-dealers connect individuals wishing to cash in on their future pension payments with potential investors in such income streams. In April, the Financial Industry Regulatory Association (FINRA) published Regulatory Notice ...
 JD Supra3 days ago
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