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About 802 results for "finra"

FINRA Sanctions First New York Securities L.L.C. and#36;916,000 for Illegal Short Selling in Advance of 14 Public Offerings
SPi World News

First New York Fined Again by Finra Over Illegal Short Sales

(Bloomberg) -- First New York Securities LLC manipulated company stocks with illegal short sales less than two years after having been fined for similar misconduct, the industry's self-regulator said. From September 2010 through April 2013, First ... Bloomberg, 3 days ago

88 images for finra, 3 days ago
Dealbreaker, 1 week ago
SPi World News, 3 days ago
Mayer Brown, 3 days ago
I Stock Analyst, 3 days ago
Bank Investment Consultant, 4 days ago
Cooley, 4 days ago
PR Newswire, 1 week ago
Financial-Planning Interactive, 1 week ago
Yahoo! News Australia, 2 weeks ago

UPDATE 1-Windfall in options trade in Kraft-Heinz deal

(Adds SEC, FINRA comment) By Saqib Iqbal Ahmed (Reuters) - One trader's bullish bet in Kraft Foods Group Inc's options is set to turn a $700,000 bet into a possible paper profit of as much as $19 million. The company's proposed merger with ...
 Reuters3 days ago

FINRA Cybersecurity Report Isn't Just for Broker-Dealers

+ Follow this blog CREATE NEW ALERT Get alerted any time new stories are posted from In-House Straight. Please set the delivery schedule for this alert. Create Alert Thank You! Don't forget you can visit MyAlerts to manage your alerts at ...
 Corporate Counsel4 days ago

FINRA Dispute Resolution Task Force

FINRA Dispute Resolution is committed to providing a fair, efficient, and economical forum to resolve disputes among investors, securities firms, and individual brokers. To ensure that the forum meets the evolving needs of parties, FINRA has formed ...
 FINRA1 week ago Other Exchanges Using FINRA's Forum  FINRA1 week ago

IHookup Social passes FINRA's stock split approval

Social dating company iHookup Social (OTC PINK:HKUP) (OTC PINK:HKUPD) reported on Thursday the receipt of approval from FINRA for its proposed one for 100 reverse split. The company added the reverse split will take effect at the open of business ...
 BusinessWeek1 week ago
New New Internet

The Financial Industry Regulatory Authority (FINRA) Selects Cloudera as a Key Component of Its Big Data Platform to Monitor Up to 50 Billion Events per Day in a Dynamic Financial Market

(GLOBE NEWSWIRE) -- Cloudera, the leader in enterprise analytic data management powered by Apache Hadoop, today announced that the Financial Industry Regulatory Authority (FINRA), an independent regulator overseen by the Securities and Exchange ...
 Wall Street Select5 days ago Steve Totman: Independent Regulator Picks Cloudera Tech to Analyze Securities Market Data  New New Internet4 days ago

iHookup Social Receives FINRA Approval for Stock Split

CAMPBELL, CA -- (Marketwired) -- 03/19/15 -- iHookup Social, Inc. (OTC PINK: HKUP) (OTC PINK: HKUPD), a fully reporting public company that develops a mobile/social app enabling singles, groups and the socially active to connect quickly, offering ...
 RCL Advisors1 week ago
The Trade News

SEC calls for FINRA registration of prop-trading firms

 Tabb Forum3 days ago US regulators target HFTs with latest rules  Futures & Options World3 days ago HFT to face tougher regulation under SEC proposal  The Trade News3 days ago Robots have been running the US stock market, and the government is finally taking control  Quartz3 days ago

KTL Bamboo International Corp. (STXY: 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 Sheets3 days ago Primco Management, Inc. (PMCM: OTC Link/FINRA BB) | Deleted Symbol  Pink Sheets5 days ago GEI Global Energy Corp. (GEIG: OTC Link/FINRA BB) | Deleted Symbol  Pink Sheets1 week ago

SEC proposes rule aimed at monitoring high freq. trading more closely

Reuters. If an SEC amendment is adopted, most high frequency traders will be required to belong to FINRA -- The Securities and Exchange Commission proposed a rule amendment on Wednesday that would require broker-dealers that trade ...
 Investing.com3 days ago
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