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Showing 11 - 18 of 18 results for "Financial Industry Regulatory Authority"

FINRA relaxes social media controls

ELISE BURGESS | WEDNESDAY, 18 JAN 2012

... "retail communications that are posted on online interactive electronic forums," said the Financial Industry Regulatory Authority (FINRA). Defining retail communication as any written (including electronic) communication made available to more than 25 ...

Morgan Stanley slapped with US $1 million fine

CLAIRE MCGREAL | MONDAY, 14 NOV 2011

... financial regulator for excessive markups and markdowns on corporate and municipal bonds. The Financial Industry Regulatory Authority (FINRA) has also ordered Morgan Stanley and Morgan Stanley Smith Barney to pay customers $371,000 in restitution and ...

Regulators chase social media

ELISE BURGESS | FRIDAY, 11 NOV 2011

... summary of a review of Facebook and Twitter use by financial services companies but its was Financial Industry Regulatory Authority (FINRA) that eventually provided more detailed guidance after it issued guidelines on social media for broker-dealers. ...

ASIC cautions industry after US broker tweeted into suspension

ELISE BURGESS | TUESDAY, 19 JUL 2011

... market trading practices," an ASIC spokesperson told Financial Standard. In the US, the Financial Industry Regulatory Authority (FINRA) issued guidance to securities firms and brokers in January this year regarding the use of social networking Web sites ...

US wants pause button in volatile markets

MICHAEL HOBBS | WEDNESDAY, 19 MAY 2010

... meeting of exchanges, including the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), in May when approximately 30 stocks on the S&P 500 fell in value by at least 10 per cent in five minutes. The pause ...

CalPERS champions placement agent reform

COMPANY RELEASE | MONDAY, 23 NOV 2009

... register as broker-dealers with the U.S. Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA) or CalPERS will decline the opportunity to retain or invest with the external manager. As previously announced, the ...

Fee disclosure for intermediaries: CalPERS

RUTH LIEW | MONDAY, 11 MAY 2009

... register as broker-dealers with the U.S. Securities and Exchange Commission (SEC) through the Financial Industry Regulatory Authority (FINRA) or CalPERS would decline the opportunity to retain or invest with the external manager or investment vehicle. ...

Sub-prime still has teeth

SUZY MAC | MONDAY, 5 NOV 2007

... Poor's takes the scissors to the financial sector sin-bin - snipping at ratings, while the Financial Industry Regulatory Authority (FIRA) could be giving Goldman's profits a Sherlock Holmes. Fears and rumours over the extent of the fallout from the sub-prime ...

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Invesco launches new equity fund

ELIZA BAVIN

Invesco said the new fund will give Australian investors access to a systematic global equity strategy with a 20-year track record.

FCA pursues Neil Woodford again

KARREN VERGARA

The Financial Conduct Authority (FCA) is going after failed fund manager Neil Woodford again, this time for allegedly providing unauthorised investment advice via W4.0, his Dubai-based investment platform.

Former APRA deputy chair launches retirement solutions startup

KARREN VERGARA

A former APRA deputy chair has launched CipherIQ, a new venture that provides retirement solutions via account-based pensions in partnership with superannuation funds, financial advisers and retirees.

Global X launches space tech ETF

MATTHEW WAI

Global X has now launched the space tech ETF (ASX: MOON).

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