Blogs about: Finra
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FINRA to oversee managers with broker-dealer ties under bill
By Doug Halonen for Pensions and Investments, November 4, 2009 Financial reform legislation approved by the House Financial Services Committee today clears the way for FINRA to regulate money managers… more →
The Cardinal Rule
Small Investor Wins Arbitration
timhoch wrote 2 weeks ago: Chalk one up for the small investor. A woman from South Carolina was awarded $200,000 by an arbitrat … more →
"Roissy in DC"--Update
— 40 comments
Lady Raine wrote 2 weeks ago: View Larger Map Update on Roissy’s info….. This is just info that I either verified sinc … more →
FINRA Regulatory Notice 09-67 Changes to the fee for the Regulatory Element of the continuing education requirements of FINRA
The Paralegal wrote 3 weeks ago: Beginning January 4, 2010, FINRA is raising the fees for the CE requirements of certain registered p … more →
FINRA Expands BrokerCheck
The Paralegal wrote 1 month ago: FINRA (The Financial Industry Regulatory Authority) has obtained approval from the SEC (Securities a … more →
About the New Video-Launch of InvestorGov.com
Editors wrote 1 month ago: Do You Trust Mary? By Dr. David Edward Marcinko; MBA [Publisher-in-Chief] Did you know that accordin … more →
How to Avoid a “Madoff”
Marc Freedman, CFP® wrote 1 month ago: On December 10, 2008, investors froze in their tracks as they wondered whether they were victims of … more →
FINRA to oversee managers with broker-dealer ties under bill
mtirrell4 wrote 1 month ago: By Doug Halonen for Pensions and Investments, November 4, 2009 Financial reform legislation approved … more →
If I'm applying for my series 7 and I filed a Bankruptcy 8 years ago, will I pass the background for FINRA?
bernardkirk1990 wrote 1 month ago: Bankruptcy will stay on legal records for up to 20 years, but that being said, I doubt that this wou … more →
FTC Enforcement of Red Flags Rule
mtirrell4 wrote 1 month ago: On July 29, 2009, the Federal Trade Commission (FTC) announced it is delaying enforcement of the new … more →
Deadline For Form U4 Regulatory Action Questions
mtirrell4 wrote 1 month ago: FINRA reminds firms that they must file amended Forms U4 for all of their registered persons to prov … more →
FINRA 2009-10-12: FINRA Rulebook Consolidation
mtirrell4 wrote 2 months ago: FINRA staff discuss new rules that the SEC recently approved for inclusion in the consolidated FINRA … more →
FINRA 2009-10-05: FINRA September 2009 Monthly Recap
mtirrell4 wrote 2 months ago: Revisit the latest Notices, compliance resources and news from September 2009. Hosts: Kenneth Edward … more →
FINRA Warns Brokers Against Fraudulent IOIs
mtirrell4 wrote 2 months ago: By Nina Mehta for Traders Magazine, September 28, 2009 The Financial Industry Regulatory Authority w … more →
FINRA 2009-09-21: Continuing Membership Applications - Part 3
mtirrell4 wrote 2 months ago: The final podcast in the three-part series on continuing membership applications describes what occu … more →
FINRA panel quietly reviews regulator's policing procedures
mtirrell4 wrote 3 months ago: Sue Asci, Investment News, September 22, 2009 An internal committee of the Financial Industry Regul … more →
FINRA 2009-09-14: Continuing Membership Applications - Part 2
mtirrell4 wrote 3 months ago: The second of three podcasts on continuing membership applications explains how to submit one to FIN … more →
FINRA 2009-08-24: Continuing Membership Applications - Part 1
mtirrell4 wrote 3 months ago: The first podcast in a three-part series on continuing membership applications, or CMAs, discusses w … more →
Beware the Brokerage Accounts
— 3 comments
Editors wrote 3 months ago: Watch that Signatory – Read that Contract By Dr. David Edward Marcinko; MBA, CMP™ [Publisher-i … more →
Regulatory Notices
mtirrell4 wrote 3 months ago: 09-53: Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Op … more →
