FINRA, the Financial Industry Regulatory Authority, has issued guidelines on the proper use of social media.
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James Konaxis of Beverley, MA, was registered with FINRA (Financial Industry Regulatory Authority) up until November 2010.
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Someone had sent an anonymous tip to the Financial Industry Regulatory Authority, and FINRA had notified Lincoln National.
In 2009, the Investor Education Foundation of the Financial Industry Regulatory Authority (FINRA) conducted a similar investor survey.
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This is according to a report from the Financial Industry Regulatory Authority (Finra).
Before that, she was a VP at the Financial Industry Regulatory Authority (FINRA).
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Ferrell had filed the case with the Financial Industry Regulatory Authority accusing Bear Stearns, and its new owners J.
The Financial Industry Regulatory Authority (Finra), a self-regulator for the broader securities industry, also has an online bond-trading database.
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The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States.
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The Financial Industry Regulatory Authority, which oversees broker-dealers along with the stock exchanges, sent a warning to member companies last week.
If they are regulated by the Financial Industry Regulatory Authority, or FINRA, they also have a suitability duty for their stock tips.
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Her last job was as chief executive officer of the Financial Industry Regulatory Authority, the entity that regulates stock brokerages and stockbrokers.
Schloss, executive vice president, corporate communications, at the Financial Industry Regulatory Authority.
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The payout plan, which requires Securities and Exchange Commission approval, would be overseen by the Financial Industry Regulatory Authority, a Wall Street self-regulator.
As for Schapiro, she is a well-known figure on Wall Street who now heads the Financial Industry Regulatory Authority which oversees securities firms.
The SEC and the Financial Industry Regulatory Authority must also create a regulatory structure allowing companies to "crowdfund, " or raise capital from hundreds of investors.
There were high hopes originally for Schapiro, who had plenty of regulatory experience running the Commodity Futures Trading Commission and the Financial Industry Regulatory Authority.
She currently heads the Financial Industry Regulatory Authority, which describes itself as the largest nongovernmental regulator for all securities firms doing business with the U.S. public.
Former SEC Chairman Mary Schapiro stayed out of all matters involving her former employer, the Financial Industry Regulatory Authority, throughout her nearly four years atop the SEC.
Ms. MARY SCHAPIRO (CEO, Financial Industry Regulatory Authority): As the events of the past year, even the past week, have shown us, this is a perilous time for investors.
The first serious cracks emerged in September when America's Financial Industry Regulatory Authority, a now-autonomous agency once tied to the major exchanges, told MF to put up more capital.
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But little has been said about the watchdogs at the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority, the regulators who oversee the activities of the banks.
The new rules will require exchanges and the Financial Industry Regulatory Authority to pause trading in certain individual stocks if the price moves 10% or more in a five-minute period.
The tool is powered by New York-based SecondMarket, an investment platform that is licensed by the U.S. Financial Industry Regulatory Authority and U.S. Securities and Exchange Commission as a broker-dealer.
Here are some tricks and traps to be alert to, courtesy of Gerri Walsh, vice president of investor education at the Financial Industry Regulatory Authority (Finra), the securities industry's self-regulatory body.
Visit the FINRA (Financial Industry Regulatory Authority) website.
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Mr. JOHN GANNON (Senior Vice President, Office of Investor Education, Financial Industry Regulatory Authority): Many people think that the typical victim of investment fraud is a little old widow sitting there by herself, alone.
He joined Goldman Sachs in 2005 and worked there until his sacking, for building up "inappropriately large proprietary futures positions in a firm trading account", according to a filing with the Financial Industry Regulatory Authority (Finra).
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Securities and Exchange Commission Chairman Mary Schapiro and the organization she previously ran, the Financial Industry Regulatory Authority, won a legal victory Monday when a federal judge effectively declared that the only one who can sue them is--Mary Schapiro.
Goldman fired Mr. Taylor on Dec. 21, 2007, for "alleged conduct related to inappropriately large proprietary futures positions in a firm trading account, " the bank wrote in a filing submitted to the Financial Industry Regulatory Authority, which oversees broker-dealers.
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