Financial Industry Regulatory Authority

Type: Organization

Name: Financial Industry Regulatory Authority (FNRA)

Fact Sheet: Fact Sheet for Financial Industry Regulatory Au...

First reported 10 hours ago - Updated 10 hours ago - 1 reports

FINRA FIles Theft Complaint Vs. Former Raymond James Broker

, the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) filed a complaint against Paul David Arnold alleging that during the period from May 2010 to April 2011, while registered with Raymond James & Associates, Arnold misappropriated ... [Published Seeking Alpha - 10 hours ago]

Entities: Financial Industry Regulatory Authority, David Arnold, Raymond James

First reported 10 hours ago - Updated 10 hours ago - 1 reports

FINRA Announces June 2013 Disciplinary Actions

By Robert H. Rex, Esq.The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month.If you have questions about losses in your brokerage ... [Published Seeking Alpha - 10 hours ago]

Entities: Financial Industry Regulatory Authority, Sanctions, Registered Representative

First reported 21 hours ago - Updated 21 hours ago - 2 reports

Financial Industry Regulatory Authority

Pacific Therapeutics files Form 20F for U.S. listing

Pacific Therapeutics Ltd. has filed a 20F registration statement with the United States Securities and Exchange Commission. This filing is the initial step in having the company's common shares quoted in the United States. The company has engaged TriPoint ... [Published Stockwatch - 21 hours ago]

Entities: Therapeutics, United States, Financial Industry Regulatory Authority

First reported 21 hours ago - Updated 21 hours ago - 1 reports

LinkedIn Corp

FINRA Targeting Firms’ Social Media Use

In a June targeted exam letter, FINRA asks firms to provide a laundry list of social media dataMore On Legal & Compliancefrom The Advisor's Professional LibraryDifferences Between State and SEC Regulation of Investment Advisors States may impose licensing ... [Published AdvisorOne - 21 hours ago]

Entities: Financial Industry Regulatory Authority, Social Media, LinkedIn Corp, Compliance, Twitter

First reported Jun 17 2013 - Updated Jun 18 2013 - 3 reports

Chesapeake Energy Corporation

Chesapeake Energy appoints Patrick Craine as chief compliance officer

Oil and gas company, Chesapeake Energy Corporation (NYSE:CHK) on Monday named Patrick K. Craine as its chief compliance officer who will report to its general counsel Jim Webb and the Audit Committee of its board. Most recently, Craine was a partner at ... [Published Individual.com - Jun 18 2013]

Entities: Chesapeake Energy Corporation, Appointed, Financial Industry Regulatory Authority

First reported Jun 17 2013 - Updated Jun 18 2013 - 3 reports

National institutes of Health

The 50 Best Employers For Older Workers

America’s population is ageing, yet they’re still working past retirement age.The National Institutes of Health (NIH), a federal agency based in Bethesda, Md., takes the top spot in a list of the best 50 employers for older workers published on Monday ... [Published Business Insider Australia - Jun 18 2013]

Entities: National institutes of Health, Workers, AARP

First reported Jun 17 2013 - Updated Jun 18 2013 - 2 reports

FINRA Issues New Investor Alert: Alternative Funds Are Not Your Typical Mutual Funds

Alternative or "alt" mutual funds are publicly offered, SEC-registered funds that hold more non-traditional investments and employ more complex trading strategies than traditional mutual funds.Alt funds might invest in assets such as global real estate, ... [Published ExchangeTradedFunds.com - Jun 18 2013]

Entities: Financial Industry Regulatory Authority, Mutual Fund, Hedge Fund, Investment Company Act of 1940, Leveraged Loans

First reported Jun 17 2013 - Updated Jun 17 2013 - 3 reports

BRIAN BELSKI: 'Investors Should Prepare For More Back-And-Forth Action This Summer'

FA Insights is a daily newsletter from Business Insider that delivers the top news and commentary for financial advisors. (BMO Capital Markets)BMO Capital Markets' Brian Belski maintains his 1,575 S&P 500 year-end target. In a new note, he writes, "To ... [Published Business Insider - Jun 17 2013]

Entities: Brian Belski, Financial Industry Regulatory Authority, Action, BMO Capital Markets

First reported Jun 17 2013 - Updated Jun 17 2013 - 2 reports

Are Alternative Mutual Funds Too Risky? US News

In the aftermath of the 2008 downturn, alternative mutual funds have exploded in popularity. For investors who took a beating that year, the appeal of alternative funds is simple: They offer the prospect of positive returns even when the stock market ... [Published Yahoo! Finance - Jun 17 2013]

Entities: Mutual Fund, Todd Rosenbluth, Financial Industry Regulatory Authority, Hedging

First reported Jun 17 2013 - Updated Jun 17 2013 - 2 reports

Commonwealth Financial Network® Named a Best Place to Work in Technology for the 7th Time Business Wire

WALTHAM, Mass.--(BUSINESS WIRE)-- For the seventh consecutive year, Commonwealth Financial Network® has been ranked as one of the (IT) by IDG’s Computerworld. Commonwealth was honored as the #2 firm to work for among small organizations in the United ... [Published Yahoo! Finance - Jun 17 2013]

Entities: JD Power & Associates, Wayne Bloom, Financial Industry Regulatory Authority, Computerworld

First reported Jun 17 2013 - Updated Jun 17 2013 - 2 reports

The Latest Fuckery from FINRA

What kind of fuckery is this? You made me miss the Slick Rick gig (oh Slick Rick) You thought I didn’t love you when I did (when I did) Can’t believe you played me out like that (Ahhh) -Amy Winehouse, Me & Mr Jones I have throughout my career in ... [Published EquityJungle - v0.1 - Jun 17 2013]

Entities: Financial Industry Regulatory Authority, Slick Rick, Amy Winehouse

First reported Jun 17 2013 - Updated Jun 17 2013 - 2 reports

FINRA Regional Director Resigns as Prior Bingo Fraud Indictment Revealed

Last week, Mitchell C. Atkins, who was a regional director and head of FINRA’s District 7, in Boca Raton, Florida, resigned after evidence about him surfaced about a 1993 indictment in Louisiana “for felony theft and charitable bingo fraud.” The indictment ... [Published JD Journal - Jun 17 2013]

Entities: Financial Industry Regulatory Authority, Fraud, Indictment

Quotes

"Securities Offered Through LPL Financial, Member FINRA/SIPC and an Investment Advisor"

Five steps to take if you're behind on your mortgage [Published Fox41.com - 9 mins ago]

...Geert Cauwenbergh, President and CEO of RXi Pharmaceuticals. "With OTCQX, we can clearly convey our qualifications to the financial markets and ensure our shareholders receive high-quality disclosure, transparent trading and easy access through their regulated U S broker-dealer."

RXi Pharmaceuticals Corporation Begins Trading on OTCQX® [Published Michigan Live - 31 mins ago]

A 1963 SEC report had found that the American Stock Exchange, "had failed in creating an adequate structure of surveillance, control and discipline" and it questioned the effectiveness of self-regulation and the ability of exchanges to protect investors. The SEC's solution was automation

Nigeria: NSE, NASD and Emerging Battle in the Capital Market [Published AllAfrica.com - 50 mins ago]

...Feldman, Hendrickson and Ifrah for their significant contributions in serving the Company over the past several years." Mr. Rhee continued, "At the same time we welcome Mr. Darbouze and Mr. Lau to our board along with Mr. Medleg as our new Chairman, and look forward to their guidance as we move CTX forward." Our new members bring deep and wide ranging operational experience to our board:

CTX VIRTUAL TECHNOLOGIES, INC. ANNOUNCES CHANGES TO ITS BOARD [Published Individual.com - 1 hour ago]

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Wealth Strategies: Bond funds could plummet 10%... [Published Reuters Video: Business - Jun 04 2013]
FINRA Adds Oversight of 2 More Exchanges [Published FOX Business - Video - May 22 2013]
Primed for financial success in 2013? [Published Money, Markets & More - Jan 23 2013]
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Finra Narrows the Scope of its Suitability Rule [Published WSJ.com Video - Digits - Jan 15 2013]