regulatory services Press Release

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09/11/2018 - 08:55
FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities
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FINRA
09/10/2018 - 07:57
FINRA Releases Report on the Rise of RegTech
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FINRA
09/06/2018 - 03:05
CE Council and FINRA Request Comment on Potential Enhancements for the Securities Industry Continuing Education Program
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FINRA
08/27/2018 - 23:27
FINRA Announces Governor Elections
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FINRA
08/20/2018 - 10:32
AEP Names Simmons President and COO of Public Service Company of Oklahoma; Solomon Named Senior Vice President, Generation Services
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American Electr...
08/20/2018 - 05:14
FINRA Fines Interactive Brokers $5.5 Million for Regulation SHO Violations and Supervisory Failures
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FINRA
08/13/2018 - 06:17
FORMER DELOITTE ADVISORY CEO JOINS BLACKLINE BOARD OF DIRECTORS
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BlackLine
08/08/2018 - 22:59
FINRA Publishes First Annual Industry Snapshot
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FINRA
07/30/2018 - 06:54
FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry
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FINRA
07/25/2018 - 01:20
Report from FINRA Board of Governors Meeting July 2018
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FINRA
07/12/2018 - 06:26
FINRA Handles Record Volume of Market Activity through First Six Months of 2018
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FINRA
07/04/2018 - 20:26
FINRA Launches Enhanced Public Records Review
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FINRA
06/28/2018 - 15:54
Firms Elect Securities America Financial Corporations Jim Nagengast to FINRA Board of Governors
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FINRA
06/17/2018 - 19:14
FINRA Hearing Panel Bars Broker for Violating Terms of His Suspension; Firm Expelled from FINRA Membership for Allowing Broker to Work While Suspended
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FINRA
06/14/2018 - 09:09
FINRA Announces Initiative to Transform CRD, Other Registration Systems
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FINRA
06/07/2018 - 10:57
FINRA Foundation Expands Efforts to Increase Financial Capability in Communities Nationwide
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FINRA
05/18/2018 - 10:59
FINRA Foundation Honors Outstanding Research on Financial Capability in the United States
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FINRA
05/17/2018 - 09:14
Report from FINRA Board of Governors Meeting May 2018
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FINRA
05/16/2018 - 06:56
FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance Deficiencies and Other Violations
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FINRA
05/15/2018 - 18:23
Neustar Appoints Robert McKay to Oversee Risk Solutions
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NeuStar
05/08/2018 - 05:58
FINRA Sanctions Fifth Third Securities, Inc., $6 Million for Cost and Fee Disclosure Failures and Unsuitable Recommendations Related to Variable Annuity Exchanges
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FINRA
04/24/2018 - 09:33
FINRA Progress Report on FINRA360 Highlights Significant Changes
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FINRA
04/16/2018 - 15:22
FINRA Names Timothy C. Scheve to Board of Governors
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FINRA
04/11/2018 - 09:50
Bari Havlik Joins FINRA as Executive Vice President, Member Supervision
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FINRA
03/29/2018 - 10:26
FINRA Helps Consumers Assess Risks of Using Data Aggregators to Organize Personal Finances
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FINRA
03/28/2018 - 09:46
Across Generations, Women Trail Men in Financial Knowledge but the Gap May Be Closing
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FINRA
03/28/2018 - 08:39
FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and Supervision Rule Violations
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FINRA
03/14/2018 - 07:57
Report from FINRA Board of Governors Meeting March 2018
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FINRA
02/16/2018 - 11:25
FINRA Warns Investors of 'Regulator' Imposter Scams
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FINRA
02/13/2018 - 09:58
FINRA Foundation Announces New Appointments to Board of Directors
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FINRA
02/08/2018 - 08:36
FINRA Releases Paper Providing Perspectives on Customer Recovery
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FINRA
02/05/2018 - 11:22
FINRA Fines Wedbush Securities Inc. $1.5 Million for Customer Protection, Net Capital Rule Violations and Related Failures
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FINRA
02/05/2018 - 06:16
New FINRA Rules Take Effect to Protect Seniors and Vulnerable Adults from Financial Exploitation
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FINRA
02/01/2018 - 10:45
FINRA Announces Comprehensive Changes to Advisory Committees, Including Creation of Two New Committees
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FINRA
01/23/2018 - 01:27
Capita and Sheffield City Council work together to enhance the services that create a vibrant city
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Capita
01/22/2018 - 14:55
FINRA Launches Small Firm Helpline to Provide Enhanced Support
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FINRA
01/18/2018 - 14:22
FINRA Publishes Budget Summary and Financial Principles for First Time
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FINRA
01/08/2018 - 16:03
FINRA Releases 2018 Regulatory and Exam Priorities
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FINRA
12/28/2017 - 12:04
FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings
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FINRA
12/27/2017 - 08:27
FINRA Fines J.P. Morgan Securities LLC $2.8 Million for Customer Protection Rule Violations and Supervisory Failures
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FINRA
12/21/2017 - 11:21
FINRA Warns Investors: Dont Fall for Cryptocurrency-Related Stock Scams
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FINRA
12/21/2017 - 06:27
FINRA Fines Raymond James Financial Services, Inc. $2 Million for Failing to Reasonably Supervise Email Communications
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FINRA
12/20/2017 - 10:16
Report from FINRA Board of Governors Meeting December 2017
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FINRA
12/19/2017 - 07:03
FINRA Fines Merrill Lynch $1.4 Million for Supervisory Deficiencies Related to Extended Settlement Transactions
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FINRA
12/12/2017 - 15:41
FINRA and Georgetown Universitys McDonough School of Business Announce Partnership to Deliver Certified Regulatory and Compliance Professional Program
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FINRA
12/06/2017 - 16:29
FINRA Requests Comment on Proposed Changes to Expungement of Customer Dispute Information
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FINRA
11/21/2017 - 12:36
FINRA Introduces New Functionality and Design to Fund Analyzer
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FINRA
11/21/2017 - 12:33
FINRA Fines J.P. Morgan Securities, LLC $1.25 Million for Failing to Appropriately Fingerprint or Screen Its Employees
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FINRA
11/15/2017 - 08:22
FINRA Announces Enhancements to Advisory Committees to Increase Transparency, Improve Effectiveness
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FINRA
11/09/2017 - 08:49
FINRA Hearing Panel Bars Broker for Defrauding Elderly, Blind Customer
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FINRA
10/26/2017 - 10:21
FINRA EVP of Regulatory Operations Susan Axelrod Announces Departure
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FINRA
10/18/2017 - 16:39
FINRA Requests Comment on Arbitration Proposals
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FINRA
10/16/2017 - 06:03
FINRA Orders Wells Fargo Broker-Dealers to Pay $3.4 Million in Restitution and Reminds Firms of Sales Practice Obligations for Volatility-Linked Products
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FINRA
10/05/2017 - 10:25
FINRA Receives SEC Approval to Streamline Competency Exams
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FINRA
10/02/2017 - 14:06
FINRA Promotes World Investor Week 2017
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FINRA
09/26/2017 - 15:31
Intertek to Present and Exhibit at Fakuma 2017
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Intertek
09/25/2017 - 04:22
FINRA Sanctions Morgan Stanley $13 Million in Fines and Restitution for Failing to Supervise Sales of UITs
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FINRA
09/19/2017 - 04:21
FINRA Dispute Resolution to Hold Arbitrator and Mediator Recruitment Event at Congressional Black Caucus Conference September 21 23
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FINRA
09/15/2017 - 11:16
First-Ever National Study Finds Veterans Faring Slightly Better Financially Than Civilians
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FINRA
09/13/2017 - 07:49
FINRA Foundation Awards Inaugural Ketchum Prize to Dr. J. Michael Collins
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FINRA