FINRA, the Financial Industry Regulatory Authority, has issued guidelines on the proper use of social media.
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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.
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.
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.
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.
While working as a stockbroker in Oklahoma in 1999, he allegedly maintained accounts over which he had discretionary authority without providing written notification to the firm, according to the Financial Industry Regulatory Authority, the successor regulatory body to the NASD.
"As you add scale, your incremental cost goes to zero, " says Robert Greifeld, 51, a former computer salesman who took over at Nasdaq in 2003 as it was being spun out of the old National Association of Securities Dealers, now the Financial Industry Regulatory Authority.
These statistics include all types of examinations: risk priority examinations, follow up on tips and complaints, limited-scope special inspections to probe emerging risk areas, oversight examinations of broker-dealers to test compliance and reviews of the quality of examinations by the Financial Industry Regulatory Authority (FINRA).
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Visit the FINRA (Financial Industry Regulatory Authority) website.
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Unless the SEC and Financial Industry Regulatory Authority craft strong rules, Mr. Abshure said, a combination of fraud, high failure rates for startups and an "inevitable advertising onslaught of pie-in-the-sky offers" will kill investor confidence in buying shares online.
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.
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