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 Ruletimhoch wrote 2 weeks ago: Chalk one up for the small investor. A woman from South Carolina was awarded $200,000 by an arbitrat … more →
Lady Raine wrote 2 weeks ago: View Larger Map Update on Roissy’s info….. This is just info that I either verified sinc … more →
The Paralegal wrote 3 weeks ago: Beginning January 4, 2010, FINRA is raising the fees for the CE requirements of certain registered p … more →
The Paralegal wrote 1 month ago: FINRA (The Financial Industry Regulatory Authority) has obtained approval from the SEC (Securities a … more →
Editors wrote 1 month ago: Do You Trust Mary? By Dr. David Edward Marcinko; MBA [Publisher-in-Chief] Did you know that accordin … more →
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 →
mtirrell4 wrote 1 month ago: By Doug Halonen for Pensions and Investments, November 4, 2009 Financial reform legislation approved … more →
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 →
mtirrell4 wrote 1 month ago: On July 29, 2009, the Federal Trade Commission (FTC) announced it is delaying enforcement of the new … more →
mtirrell4 wrote 1 month ago: FINRA reminds firms that they must file amended Forms U4 for all of their registered persons to prov … more →
mtirrell4 wrote 2 months ago: FINRA staff discuss new rules that the SEC recently approved for inclusion in the consolidated FINRA … more →
mtirrell4 wrote 2 months ago: Revisit the latest Notices, compliance resources and news from September 2009. Hosts: Kenneth Edward … more →
mtirrell4 wrote 2 months ago: By Nina Mehta for Traders Magazine, September 28, 2009 The Financial Industry Regulatory Authority w … more →
mtirrell4 wrote 2 months ago: The final podcast in the three-part series on continuing membership applications describes what occu … more →
mtirrell4 wrote 3 months ago: Sue Asci, Investment News, September 22, 2009 An internal committee of the Financial Industry Regul … more →
mtirrell4 wrote 3 months ago: The second of three podcasts on continuing membership applications explains how to submit one to FIN … more →
mtirrell4 wrote 3 months ago: The first podcast in a three-part series on continuing membership applications, or CMAs, discusses w … more →
Editors wrote 3 months ago: Watch that Signatory – Read that Contract By Dr. David Edward Marcinko; MBA, CMP™ [Publisher-i … more →
mtirrell4 wrote 3 months ago: 09-53: Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Op … more →