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Stories 1 - 10 for FINRA

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facetime's Application Database Acquisition Highlights Need for Web 2.0 ...

PR-USA.net (press release) - ‎8 hours ago‎
... media networks and organizations now face new rules, from regulatory bodies such as FINRA, specifically relating to content posted to social networks. ...

Gold may gain from Dubai fallout

optionMONSTER Research (registration) - ‎9 hours ago‎
... system performance, and other factors. Securities products and services offered by OM Securities, LLC d/b/a tradeMONSTERâ„¢. Member FINRA and SIPC.

FINRA Fines Mini-Prime for Soft Dollar Practices

HedgeCo.net - ‎11 hours ago‎
FINRA found that the broker's policies, procedures and systems were inadequate and that the broker had failed to comply with those policies it did have in ...

Credit risk brings renewed impetus for open architecture

Risk.net - Sophia Morrell - ‎15 hours ago‎
Moves to implement a uniform fiduciary standard by the Financial Industry Regulatory Authority (Finra) and the Securities and Exchange Commission (SEC) ...

Chairman and CEO, ProFunds/ProShares

MutualFundWire.com - ‎21 hours ago‎
The SEC and Finra came out with an alert on leveraged and inverse ETFs, several brokerages decided to halt sales of the products, and the ETFs also ...

Head of Third Party Distribution, T. Rowe Price

MutualFundWire.com - ‎21 hours ago‎
... Mutual Fund Education Alliance, a board member of the Foundation for Financial Planning and a member of the Investment Companies Committee for FINRA. ...

Soft Dollar Case Raises Eyebrows

Financial Advisor Magazine - ‎Nov 25, 2009‎
The case, announced by the Financial Industry Regulatory Authority (Finra) on Monday, has drawn attention for the blatant impropriety of the payments. ...

Notice to All Investors of CIT InterNotes From the Securities Law Firm of ...

Benzinga - ‎Nov 25, 2009‎
The sales of the CIT InterNotes are now under scrutiny by FINRA. Specifically, the regulatory body is examining the sales practices of brokerage firms who ...

Notice to Schwab YieldPlus Investors: Deadline to Opt-Out of the Class Action ...

PR Newswire (press release) - ‎Nov 25, 2009‎
... shares of the YieldPlus Fund from Charles Schwab, in securities arbitration claims before the Financial Industry Regulatory Authority ("FINRA"). ...

Megola Inc. Initiates Reverse Stock Split and Move to OTCBB

CNNMoney.com (press release) - ‎Nov 25, 2009‎
Megola has also filed all requisite documentation with FINRA and has been approved to move forward with its plan to perform a Reverse Stock Split on all ...
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