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About 803 results for "finra"

CBOE and C2 discuss regulatory services agreement with FINRA

FINRA may provide certain regulatory services to the CBOE and C2 options markets. Chicago - CBOE Holding has announced that Chicago Board Options Exchange (CBOE) and C2 Options Exchange(C2) are in discussions with the Financial Industry Regulatory ... Automated Trader, 17 hours ago
CBOE, C2 in talks with FINRA, 3 days ago

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Reuters, 1 day ago
AdvisorOne, 2 days ago
RIABiz, 1 week ago
I Stock Analyst, 6 hours ago, 1 day ago
AdvisorOne, 1 day ago
ABC News 4 Charleston, 1 day ago
Sys-Con Media, 1 day ago
AdvisorOne, 2 days ago
CNBC, 3 days ago

FINRA to discuss potential new rules on dark pools

The Financial Industry Regulatory Authority (FINRA) announced on Wednesday that it intends to discuss potential rule-making initiatives that would seek to increase the transparency of Alternative Trading Systems, including dark pool trading among ...
 Lexology6 minutes ago

Corporate and Financial Weekly Digest - Volume IX, Issue 36

In this issue: - Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld - FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms - CBOE and C2 in Discussions With FINRA for Regulatory ...
 JD Supra11 hours ago FINRA Mulls Revised Broker Bonus Plan  AdvisorOne3 days ago FINRA issues frontier markets warning  Investment Executive4 days ago FINRA Warns About Investing in Nigeria, Lebanon, Other Frontier Markets  AdvisorOne4 days ago

FINRA Rules 12300 and 13300 amended to prevent disclosure of PCI in arbitration

FINRA's Concern About Disclosure Of PCI In Arbitration It is not uncommon for parties to an arbitration proceeding to provide FINRA with pleadings or other documents that contain an individual's Social Security number, taxpayer identification ...
 Lexology2 weeks ago

How Will This FINRA Penalty Affect Citigroup (C) Stock Today?

08/26/14 - 10:56 AM EDT NEW YORK ( TheStreet ) -- Citigroup ( C ) rose Tuesday after theFinancial Industry Regulatory Authority demanded the bank pay a $2.5 million in fines and restitution. FINRA said Citigroup'smarkets unit did not give ...
 TheStreet.com2 weeks ago Citigroup Fined $1.85M by FINRA for Bad Pricing & Neglig…  Zacks.com2 weeks ago

Citigroup Fined $1.85 Million by Finra for Trading Lapses

Citigroup Inc. (C) will pay a $1.85 million fine and return more than $638,000 to customers after its securities unit failed to get the best prices for clients in about 22,000 trades over more than three years, the Financial Industry Regulatory ...
 Bloomberg2 weeks ago FINRA fines Citigroup unit US$1.85 million  Investment Executive2 weeks ago Finra fines Citigroup RM5.85 mil on trading violations  KiniBiz2 weeks ago Finra Fines Citigroup $1.85 Million For Trading Violations  Financial Advisor Magazine2 weeks ago

Gevo, Inc. (GEVNW: FINRA BB Only) | Venue Change

VSTAD VSTA VistaGen Therapeutics, Inc. Common Stock OTC Link 2014-09-12 00:00:00.0 TEXCD TEXC TexCom, Inc. Common Stock OTC Link 2014-09-12 00:00:00.0 NWHAD NWHAF Handa Copper Corp. Ordinary Shares Grey Market ...
 Pink Sheets3 days ago Consolidation Services, Inc. Submits Application with FINRA for Name...  PRWeb3 weeks ago

Unfazed by Finra Charges, Seniors Still Swoon for David Lerner Pitch

This article was originally posted on TheStreet Foundation Web site on August 25. NEW YORK (TheStreet) -- It's all about suiting the spin to the audience when you're in the financial industry, and the investment seminar at the Trumbull, Conn.
 TheStreet.com3 weeks ago
SPi World News

Newnote Financial Corp. Receives US Trading Symbol NWWTF from FINRA and to Commence Trading in the USA

VANCOUVER, British Columbia--( BUSINESS WIRE )--Newnote Financial Corp. (the Company) (CSE: NEU; FSE: 1W4 ) is pleased to announce shares of the Company have commenced trading on the OTC Pink Sheets under the symbol NWWTF. Paul ...
 Business Wire3 weeks ago NEWNOTE FINANCIAL : Receives US Trading Symbol NWWTF from FINRA and to Commence Trading in the USA  4 Traders3 weeks ago

FINRA speaks at 2014 Structured Retail Products conference

On June 26 and 27, Structured Retail Products hosted its annual industry conference in Boston. The remarks of two FINRA officials provide a useful update of FINRA's views as to a number of issues affecting the industry. Product Complexity On June ...
 Lexology1 month ago
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