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Saturday, November 21, 2009 8:35 PM

Financial Industry Regulatory Authority

Financial Industry Regulatory Authority - Click to view 360-page
Financial Industry Regulatory Authority
Type: Organization
Name: Financial Industry Regulatory Authority (FNRA)
First Reported 20 hours ago - Updated 10 hours ago - 2 Documents
MetLife Incorporated - Click to view 360-page
MetLife Incorporated
FINRA fines MetLife Securities and affiliates for e-mail supervision failures
The Financial Industry Regulatory Authority has fined MetLife Securities and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' e-mail correspondence with the public. The ... [Individual.com - 10 hours ago]
First Reported 11/19/2009 - Updated 11/20/2009 - 2 Documents
US Securities and Exchange Commission - Click to view 360-page
US Securities and Exchange Commission
FINRA Will Permanently Disclose Former Brokers Disciplinary Actions
Critics complain that customer complaints and prior arbitrations still won’t be made public for those who leave the industry¦The Financial Industry Regulatory Authority is expanding its BrokerCheck service to permanently include information on final regulatory ... [Bank Investment Consultant - 11/20/2009]
First Reported 11/19/2009 - Updated 11/19/2009 - 2 Documents
ASF, SIFMA Urge Reforms to MBS-Reporting Proposal
The American Securitization Forum (ASF) and the Securities Industry and Financial Markets Association (SIFMA) issued a joint letter to the Securities and Exchange Commission (SEC) addressing a proposal to expand the scope of certain reporting requirements ... [HousingWire.com - 11/19/2009]
First Reported 11/19/2009 - Updated 11/19/2009 - 2 Documents
TD Ameritrade Holding Corp - Click to view 360-page
TD Ameritrade Holding Corp
In an Undecided Economy, Americans Are Determined to Save and
In spite of a changing economy, Americans are determined to save and invest more money in 2010 according to an annual New Year’s Resolution survey released by TD AMERITRADE Holding Corporation AMTD.While health-related resolutions, such as exercising ... [Business Wire via MSN Money - 11/19/2009]
First Reported 11/19/2009 - Updated 11/19/2009 - 2 Documents (in Corporate Deals)
Monogram Energy Completes Acquisition Of Triad Therapeutics - Quick Facts
(RTTNews) - Monogram Energy Inc. (MGRN.PK: News ) announced that it has completed the acquisition of Triad Therapeutics Inc., effective October 30. Shareholders of Monogram acquired 100% of the outstanding shares of Triad in exchange for approximately ... [RTTNews.com - 11/19/2009]
First Reported 11/19/2009 - Updated 11/19/2009 - 1 Documents
Skadden, Arps, Slate, Meagher & Flom - Click to view 360-page
Skadden, Arps, Slate, Meagher & Flom
Finra to shell out $1M on lobbying efforts
Members, concerned over increased spending, like assertive stance on regulation of advisers By Dan JamiesonNovember 19, 2009, 3:29 PM ESTaddthis_config = } Finra has opened up its checkbook to lobby Congress for authority over investment advisers.The ... [Investment News - 11/19/2009]
First Reported 7 hours ago - Updated 7 hours ago - 1 Documents (in Internet & IT)
What’s Fueling America’s Rage?
What is fueling America’s populist rage? Is it the unemployment situation? Is it the volatility in the markets? The weakening greenback? Perhaps the generally perceived level of incompetence amongst our political and corporate leaders? Is it a media ... [NO QUARTER - 7 hours ago]
First Reported 11/19/2009 - Updated 11/19/2009 - 1 Documents
Citi Private Bank Hires Head Of Investments For North America
NEW YORK -(Dow Jones)- Citigroup Inc.'s (C) Private Bank hired Steve Bodurtha from Bank of America Corp.'s (BAC) Merrill Lynch as head of investments for North America, as the firm continues to fill management roles.In the newly created position, Bodurtha ... [Nasdaq - 11/19/2009]
First Reported 11/19/2009 - Updated 11/19/2009 - 1 Documents
FINRA: Be More Careful About E-Mail
The Financial Industry Regulatory Authority has imposed a $1.2 million fine on an insurer-affiliated securities firm over allegations that the firm had a weak e-mail supervision program.FINRA, Washington, has negotiated the settlement with MetLife Securities ... [National Underwriter - 11/19/2009]
First Reported 11/19/2009 - Updated 11/19/2009 - 1 Documents
SROs in the sights of single regulator: Hyndman
While Canada has been basking in the adulation of the world for the survival of its banking system, our fragmented securities regulation regime leaves much to be desired.The advantages of a single securities regulator are obvious, according to Doug Hyndman, ... [Advisor.ca - 11/19/2009]
First Reported 11/19/2009 - Updated 11/19/2009 - 1 Documents
Highland Funds Announces Posting of Webcast: Highland Long/Short Equity Fund 3Q09 Update
and traditional closed-end funds.This press release may contain forward-looking statements describing future plans and objectives. These forward-looking statements, as well as future oral and written statements by the management of Highland Funds, are ... [Earthtimes.org - 11/19/2009]
First Reported 11/20/2009 - Updated 11/20/2009 - 1 Documents (in Internet & IT)
Law Firm Announces Investigation of Wall Street Firms Recommending CIT InterNotes
BEVERLY HILLS, Calif., Nov. 19, 2009 LawFuel Legal Newswire -- Aidikoff, Uhl & Bakhtiari announces the launch of www.citinternotes.com and investigation of the sales practices of Wall Street firms in recommending CIT InterNotes to their clients.As capital ... [Lawfuel - 11/20/2009]

Quotes

...firms must have the ability to flag e-mails that may evidence misconduct,' Susan Merrill, FINRA EVP and chief of enforcement, said in statement. "Relying on brokers to provide copies of their own e-mails to supervisors for review is hardly an effective means to detect such misconduct."
MetLife Settles With FINRA [Insurance Networking - 20 hours ago]
...strategic advisory, and other investment banking activities are performed globally by investment banking affiliates of Bank of America Corporation ( "Investment Banking Affiliates'), including, in the United States, Banc of America Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated, which are both registered broker-dealers and members of FINRA and SIPC, and, in other jurisdictions, locally registered entities. Investment products offered by Investment Banking Affiliates: Are Not FDIC Insured * May Lose Value * Are Not Bank GuaranteedSOURCE BofA Merrill Lynch Global Research"
BofA Merrill Lynch Global Research Hires Chris Flanagan as Head [PR Newswire via MSN Money - 11/20/2009]
An expansion of the Financial Industry Regulatory Authority's BrokerCheck service will "permanently include information on final regulatory actions brought against brokers who have left the industry" according to this analysis. FINRA won approval for the expanded scope from the Securities and Exchange Commission...
FINRA plans permanent disclosure of disciplinary action [SmartBrief - 11/19/2009]
"The proposal that passed is better than nothing, but not much better" says William Jacobson, director of the securities law clinic at Cornell University...
Disciplining Of Brokers To Stay On Record [Financial Advisor Magazine - 11/19/2009]

More Content

All (1248) | News (1104) | Reports (0) | Blogs (130) | Audio/Video (1) | Fact Sheets (8)
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Don't trust the crowd if you value the truth [Washington Post - 7 hours ago]
FINRA fines MetLife Securities and affiliates f... [Individual.com - 10 hours ago]
MetLife Settles With FINRA [Insurance Networking - 20 hours ago]
Taking on the NY Times [The Age - 21 hours ago]
Picks of the Week: Intel, RIM, Wells Fargo [BusinessWeek - 21 hours ago]
Claymore Exchange-Traded Fund Declares A Distri... [Yahoo! Canada - 23 hours ago]
Franklin Street Properties Corp. Achieves the F... [Market Wire via MSN Money - 11/20/2009]
Franklin Street Properties Corp. Achieves the F... [Stockwatch - 11/20/2009]
Franklin Street Properties Corp. Achieves the F... [Yahoo! Canada - 11/20/2009]
BofA Merrill Lynch Global Research Hires Chris ... [PR Newswire via MSN Money - 11/20/2009]
U.S. Financial Regulation Overhaul: Side-by-Sid... [Yahoo! News - 11/20/2009]
Accredited Business Consolidators Corp. Address... [Market Wire via MSN Money - 11/20/2009]
Clarification On Aspen Exploration Corporation ... [Guru Focus - 11/20/2009]
Yahoo! Selects E*TRADE FINANCIAL Corporate Serv... [RBC Dain Rauscher - 11/20/2009]
Which Assets Are Seeing the Biggest Rise in Com... [Smart Money - 11/20/2009]
Anything but .01% [Pensions and Investments Online - 11/20/2009]
AdvisorTweets.com Now Aggregating The Tweets of... [Entrepreneur.com - 11/20/2009]
FINRA Will Permanently Disclose Former Brokers ... [Bank Investment Consultant - 11/20/2009]
Law Firm Announces Investigation of Wall Street... [Lawfuel - 11/20/2009]
ASF, SIFMA Urge Reforms to MBS-Reporting Proposal [HousingWire.com - 11/19/2009]
SROs in the sights of single regulator: Hyndman [Advisor.ca - 11/19/2009]
Highland Funds Announces Posting of Webcast: Hi... [Earthtimes.org - 11/19/2009]
KS Bank Partners with Capital Investment Companies [dBusinessNews.com - 11/19/2009]
Charlie Dreifus Nominated for Morningstar's Dom... [Globe Investor - 11/19/2009]
Calvert Ultra-Short Income Fund Reaches Three-Y... [Forbes.com - 11/19/2009]
Finra to shell out $1M on lobbying efforts [Investment News - 11/19/2009]
SEC Names Senior Officials to Investor Educatio... [SEC - 11/19/2009]
Monogram Energy Completes Acquisition Of Triad ... [RTTNews.com - 11/19/2009]
Monogram Energy, Inc. Acquires Triad Therapeuti... [Financial Services - 11/19/2009]
Citi Private Bank Hires Head Of Investments For... [Nasdaq - 11/19/2009]
1 2 3 4 5 6 7 8 9 10 ...
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Richard Ketchum, Mary Schapiro, Susan Merrill, [more]
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Citigroup Inc, Scottrade, Morgan Stanley & Co, [more]
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United States, China, Canada, [more]
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Internet & IT, White-Collar Crime, Mergers & Acquisitions, [more]
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Banking & Financial Services, IT, Insurance, [more]
Investment News, ETFs News and Commentary from Seeking ..., Stockwatch, [more]
Content Volume
Network
Trends

Blogs

sort by: Date | Relevance
What’s Fueling America’s Rage? [NO QUARTER - 7 hours ago]
What is fueling America’s populist rage? Is it the unemployment situation? Is it the volatility in the markets? The weakening greenback? Perhaps the generally perceived ...
ASF, SIFMA Urge Reforms to MBS-Reporting Proposal [Housing Wire - 11/19/2009]
The American Securitization Forum (ASF) and the Securities Industry and Financial Markets Association (SIFMA) issued a joint letter to the Securities and Exchange ...
FINRA fines MetLife Securities, affiliates [Business - cleveland.com - 11/18/2009]
A MetLife Inc. subsidiary and three other affiliates have been fined a total $1.2 million for alleged failures to ensure supervisors could review brokers' ...
Ignorance Defense Works on Wall Street [NO QUARTER - 11/11/2009]
Ignorance of the law is never an acceptable defense on Main Street; regrettably, the same does not seem to hold true on Wall Street. How so? A recent auction-rate ...
Sen. Dodd Releases Financial Reform Draft [Firedoglake - 11/10/2009]
Sem Chris Dodd (D-CT) (photo by kthread) Chris Dodd (D-CT), the chair of the Senate Banking Committee, has released a summary for his financial regulatory reform ...
1 2 3 4 5 6 7 8 9 10 ...

Audio/Video

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10-28-09, Ranking Member Bachus FINRA Amendment [Committee on Financial Services GOP - YouTube C ... - 10/30/2009]
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