United States securities law Press Release

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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
06/04/2018 - 19:59
Inez H. Friedman-Boyce, Partner, Goodwin Procter LLP to Speak at The Knowledge Group’s Webcast
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KC-Events
06/04/2018 - 13:48
Vermont orders cease and desist to cryptocurrency company
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DFR Vermont
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
05/14/2018 - 06:40
MEI Pharma Announces $75 Million Private Placement
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MEI Pharma
05/09/2018 - 06:02
Timberline Resources Closes Private Placement Financing
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Timberline Resources
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
04/12/2018 - 10:47
FINRA, BOX, Cboe, IEX, NASDAQ and NYSE Fine Instinet, LLC for Market Access Rule Violations
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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
04/04/2018 - 16:53
TradeStation to Provide IPO Access through the ClickIPO App
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TradeStation Group
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 - 08:39
FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and Supervision Rule Violations
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FINRA
03/27/2018 - 18:22
Dan Gold in Business Insurance on SCOTUS Securities Class Action Ruling
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Haynes and Boone
03/14/2018 - 13:14
SEC Proposes Transaction Fee Pilot for NMS Stocks
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SEC
03/14/2018 - 07:57
Report from FINRA Board of Governors Meeting March 2018
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FINRA
03/05/2018 - 11:27
SEC Issues New Interpretive Guidance on Public Company Cybersecurity Disclosures
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Haynes and Boone
03/01/2018 - 09:25
CSX to Outline Plans Targeting a 60 Percent Operating Ratio at 2018 Investor Conference
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CSX
02/16/2018 - 11:25
FINRA Warns Investors of 'Regulator' Imposter Scams
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FINRA
02/15/2018 - 16:37
Karen Garnett, Associate Director of Division of Corporation Finance, to Leave Agency After 23 Years of Service
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SEC
02/13/2018 - 09:58
FINRA Foundation Announces New Appointments to Board of Directors
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FINRA
02/12/2018 - 09:17
CSX Corporation Announces Increase to Dividend and Share Repurchase Program
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CSX
02/08/2018 - 08:36
FINRA Releases Paper Providing Perspectives on Customer Recovery
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FINRA
02/07/2018 - 09:08
SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
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SEC
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
01/22/2018 - 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
01/18/2018 - 01:03
iHeartCommunications, Inc. Announces Extension Of Private Offers To Holders Of Its Five Series Of Priority Guarantee Notes And Its Senior Notes Due 2021 To Exchange Such Notes For New Securities
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Clear Channel O...
01/10/2018 - 15:17
SEC Names Richard Best As Regional Director of Atlanta Office
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SEC
01/10/2018 - 12:17
AMENDMENT TO BURCONS RIGHTS OFFERING ANNOUNCEMENT
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Burcon
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 - 16:18
Timberline Resources Announces 2017 Financial Results and Closes Private Placement Financing
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Timberline Resources
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
11/07/2017 - 10:45
Stingray Announces Closing of Over-Allotment Option
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Stingray Digital
10/27/2017 - 06:18
Heat Biologics Rights Offering Materials Available for Shareholders of Record
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Heat Biologics
10/26/2017 - 10:21
FINRA EVP of Regulatory Operations Susan Axelrod Announces Departure
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FINRA
10/24/2017 - 13:44
TDCIs Securities Division Takes Action on Behalf of Tennessee Consumers
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Tennessee Government
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
10/11/2017 - 20:24
Mary Eaton with Willkie Farr & Gallagher LLP,  Speaks at TKG's Securities Class Action Webcast
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The Knowledge Group
10/11/2017 - 09:51
SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
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SEC
10/05/2017 - 10:25
FINRA Receives SEC Approval to Streamline Competency Exams
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FINRA
10/04/2017 - 12:06
DFR Commissioner Pieciak to head international securities organization
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DFR Vermont