Displaying 2991 - 3000 of 34830 Results
WASHINGTON - Richard G. Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority (FINRA) released the following statement on the announcement of the resignation of Mary L. Schapiro, Chairman of the Securities and Exchange Commission, and the appointment of Elisse B. Walter as her successor:
WASHINGTON - The Financial Industry Regulatory Authority (FINRA), on Monday November 12, significantly increased transparency in the so-called "To-Be-Announced" (TBA) market for agency pass-through mortgage-backed securities. This market represents more than $270 billion traded on an average daily basis in 8,400 trades.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled NY-based Hudson Valley Capital Management and barred Chief Executive Officer, Mark Gillis, from the securities industry for defrauding its clearing firm and customers by using their funds and securities to cover losses caused by Gillis' manipulative day trading.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co., Inc. $675,000 for charging unfair prices in municipal securities transactions and for failing to have an adequate supervisory system.
WASHINGTON - The FINRA Investor Education Foundation (FINRA Foundation) today released the results of the National Financial Capability Study's Military Survey at an event
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has barred brokers Fernando L. Arevalo and Jimmy E. Caballero from the securities industry for wrongfully converting approximately $300,000 from an elderly widow with diminished mental capacity, and for failing to fully cooperate with FINRA's investigation.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered Atlanta-based broker-dealer J.P. Turner & Company, L.L.C. to pay $707,559 in restitution to 84 customers for sales of unsuitable leveraged and inverse exchange-traded Funds (ETFs) and for excessive mutual fund switches.
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) announced that Mike Rufino will become Head of Member Regulation – Sales Practice, and Bill Wollman will become Head of Member Regulation – Risk Oversight and Operational Regulation (ROOR).
WASHINGTON — Self-regulatory organizations (SROs) for the equities and options markets have been working with the Securities and Exchange Commission (SEC) on their collective plans to strengthen the resilience, performance, disaster recovery capability and governance of the critical infrastructure of the US capital markets, including the Securities Information Processors (UTP, CTA and OPRA).
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has released an enhanced version of BrokerCheck that allows investors to more quickly access and more intuitively understand the professional background of investment professionals.