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About 806 results for "finra"

Eight products on FINRA examiners watch lists in 2015

By The Financial Industry Regulatory Authority's 2015 exam priorities letter named eight products that it plans to monitor for risks to investors. FINRA said shoddy disclosure about the products has made investors vulnerable to major losses ... Reuters India, 1 day ago

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Financial-Planning Interactive, 3 days ago
PR Leap, 16 hours ago
AdvisorOne, 1 day ago
KXXV-TV, 3 days ago
CW Atlanta, 4 days ago
PRWeb, 4 days ago
Value Walk, 2 weeks ago
AdvisorOne, 1 week ago
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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 Times1 month ago Goldman Sachs must pay two brokers $7.6 million for wrongful termination: FINRA panel  Economic Times1 month ago

Citigroup to pay $15 mln for analyst supervision lapses: FINRA

Citigroup, which settled the allegations with FINRA, neither admitted nor denied the charges, but consented to the entry of FINRA's findings. A unit of Citigroup Inc must pay a $15 million fine for not adequately supervising communications among its equity ...
 Economic Times2 months ago
SPi World News

New FinTrax Software Provides Real-Time Net Capital Monitoring

NEW YORK , Jan. 29, 2015 /PRNewswire/ --With FINRA's increasing level of surveillance over the compliance of member firms, new Regulatory Compliance software is helping broker-dealers maintain compliance with FINRA's net capital requirements.
 BioSpace2 days ago New FinTrax(TM) Software Provides Real-Time Net Capital Monitoring  Individual.com2 days ago New FinTrax??? Software Provides Real-Time Net Capital Monitoring  Digital Media Net2 days ago New FinTrax„¢ Software Provides Real-Time Net Capital Monitoring  TickerTech.com2 days ago
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Bondcube becomes Finra...

Bondcube Effective 01/21/15, Bondcube has become a FINRA broker/dealer member. This comes on the heels of the approval of Bondcube Limited as a crossing network in October 2014 by the UK regulator FCA and in December 2014 by the thirty-one other EU ...
 Finextra Research2 days ago Bondcube becomes Finra broker/dealer member  Finextra Research2 days ago Bondcube breaks through  ISS-Mag.com2 days ago Don't Give up Your FINRA License  WealthManagement.com3 days ago
PRWeb

Entreda to Unveil Its Automated Cybersecurity Risk Management Software at the FINRA/SIFMA Cybersecurity Conference

 Securities Technology Monitor4 days ago
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Ryan Smith, President of DFPG Investments, Inc., Accepted into FINRA's CRPC Program at Wharton School of Business

- Ryan Smith, co-founder, President and Chief Compliance Officer at DFPG Investments, Inc. (DFPG) has been admitted into FINRA's CRPC Program at the Wharton School of Business. Smith was one of only three candidates awarded a FINRA scholarship into ...
 Wall Street Select16 hours ago
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A fiduciary standard creates internal conflicts for advisers

Registered investment advisers could have more competition by the end of the year if Finra extends a fiduciary standard to its regulated brokers. The change would be significant, increasing expectations for brokers currently held only to a ...
 Investment News3 days ago The Advisor as Fiduciary - 2015, Vol. 2  JD Supra1 day ago
AdvisorOne

SEC, FINRA Enforcement: Edward Jones Fined for AML Failures

Edward Jones was fined for failing to review third-party stock liquidations in client accounts. Among recent enforcement actions were charges by the Securities and Exchange Commission against a stock-based lender for selling billions of shares ...
 AdvisorOne1 day ago

Kitara Media Corp. (KITM: OTC Link/FINRA BB) | Deleted Symbol

ZGCOD ZGCO Ziegler Companies, Inc. (THE) Common Stock OTC Link 2015-01-28 00:00:00.0 WEDGE WEDG Weed Growth Fund, Inc. Common Stock OTC Link/FINRA BB 2015-01-28 00:00:00.0 POAI POAID Empress Mining Inc. Common ...
 Pink Sheets3 days ago Silverton Energy, Inc. (MTTA: OTC Link/FINRA BB) | Deleted Symbol  Pink Sheets5 days ago Hansol Holdings Co Ltd (HSPCF: Grey Market) | Deleted Symbol  Pink Sheets1 day ago Benton Capital Corp. (BNRJF: Grey Market) | Deleted Symbol  Pink Sheets1 day ago
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