- Banks Fined for Fee Reimbursements. Stewart, Jackie // American Banker;12/28/2012, Vol. 177 Issue F350, p10
The article reports the Financial Industry Regulatory Authority (Finra) fined five U.S. banks including Citigroup, Merrill Lynch, and Goldman Sachs a total of $3.35 million for charging additional fees on municipal and state bond offerings.
- Banks Said to Alter IPO Pitches as Finra Faults Conflicts. Picker, Leslie; Campbell, Dakin // Tradersmagazine.com;11/17/2014, p3
The article offers information on the settlement between banks and Financial Industry Regulatory Authority, also known as Finra. It notes that the settlement will focus on meetings between analysts and companies ahead of their initial public offerings (IPOs). A number of banks may be asked to...
- Morning Scan: Breaking Up Banks the Sneaky Way; Startups Sleep with the Enemy. Todd, Sarah // Americanbanker.com;1/08/2015, p5
The article offers information on various topics related to the U.S. banking industry as of January 8, 2015. Topics include the plans of Standard Chartered PLC to shut down its unprofitable equity sales and research units, the Federal Reserve's plan to increase interest rates, and the Financial...
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require Members To Report OTC Equity Transactions as Soon as Practicable, But No... O'Neill, Kevin M. // Federal Register;3/25/2013, Vol. 78 Issue 57, p17969
A summary is presented of a proposed amendment to the Financial Industry Regulatory Authority, Inc. trade reporting rules, prepared by the U.S. Securities and Exchange Commission.
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). O'Neill, Kevin M. // Federal Register;3/25/2013, Vol. 78 Issue 57, p17975
A summary is presented of a notice of filing of a proposed amendment relating to the Financial Industry Regulatory Authority, Inc. Rule 8313, prepared by the U.S. Securities and Exchange Commission.
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Series 7 Examination Program. // Federal Register (National Archives & Records Service, Office of;10/18/2011, Vol. 76 Issue 201, p64419
A correction to the notice document 2011-24710 that was published in the September 27, 2011 issue is presented which discusses the proposed rule change of Financial Industry Regulatory Authority Inc. to revise the Series 7 Examination Program.
- FINRA Fines Two Firms $27,000 for Disclosure, Trade Rule Violations. Hume, Lynn // Bond Buyer;5/17/2011, Vol. 376 Issue 33518, p3
The article reports on the move of the Financial Industry Regulatory Authority (FINRA) in fining Mckenna Capital Inc. and Hansen & Co. the sum of 27,5000 dollars for municipal transaction disclosure and trade rule violations in the U.S.
- FINRA Fines Four Firms, One Trader Over $100,000. GLAZIER, KYLE // Bond Buyer;7/16/2013, Vol. 385 Issue 33945, p1
The article informs that the U.S.-based Financial Industry Regulatory Authority has fined four firms for 106,000 dollars, and as well as suspended an individual, for violations of municipal securities rule.
- Finra Reporting Plan Hit. KENTOURIS, CHRIS // American Banker;8/20/2010, Vol. 175 Issue F332, p10
The article discusses criticism of a plan proposed by the U.S. Financial Industry Regulatory Authority that would require broker-dealers to produce more frequent and more detailed financial reports.