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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the American Library Association (ALA) have announced $1.19 million in grants to 17 recipients as part of the Smart investing@your library® initiative.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred David Michael Gutman, a Vice President in the conflicts office of J.P. Morgan Securities, LLC, and Christopher John Tyndall, a former registered representative at Meyers Associates, L.P., from the securities industry for their roles in an insider trading scheme.
FINRA Releases 2014 Regulatory and Exam Priorities
FINRA issued a Regulatory Notice soliciting comment regarding an innovative proposal called Comprehensive Automated Risk Data System (CARDS).
FINRA Fines Barclays $3.75 Million for Systemic Record and Email Retention Failures
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that it has fined Deutsche Bank Securities, Inc. (DBSI) $6.5 million and censured the firm for serious financial and operational deficiencies primarily related to its enhanced lending program.
Two New Public Governors Appointed to FINRA Board of Governors, FINRA Creates New Investor Committee
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) has named two new public Governors — Dr. Brigitte C. Madrian and Dr. Luis M. Viceira — to its Board of Governors.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined COR Clearing LLC (formerly Legent Clearing LLC), of Omaha, Nebraska, $1 million for numerous failures to comply with anti-money laundering (AML), financial reporting and supervisory obligations.
Mr. Chairman and Members of the Committee: NASD is grateful for the invitation to testify regarding self-regulation in the securities industry. NASD commends the Committee's efforts in reviewing the self-regulatory system.
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding self-regulation in the securities industry.