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Search ResultsShowing 1 - 10 of 15 results for "FINRA"
Powerwrap finds new line of business
KANIKA SOOD  |  THURSDAY, 16 JAN 2020
... systems for the changes while the US parties are working through approvals from US's Financial Industry Regulatory Authority (FINRA). The platform has $8.9 billion in assets under administration, and focuses on high-net-worth advisers. Escala accounts ...
Bell Financial expects solid H1 profits
KANIKA SOOD  |  WEDNESDAY, 11 JUL 2018
... update on its US expansion - it has received SEC approval and has submitted its Financial Industry Regulatory Austhority (FINRA) membership agreement. For 2015, BFG reported a before-tax earnings increase of 165%.
Economic Wrap
ALEX DUNNIN  |  FRIDAY, 22 JUL 2016
... as white Americans to borrow money from pawn shops or pay day lenders. Regardless of the study's depressing results, the FINRA Investor Education Foundation that sponsored the study said Americans are becoming better informed and educated about their ...
ASIC user-pay model "eminently sensible": SEC veteran
ALEX BURKE  |  WEDNESDAY, 20 APR 2016
... technology?" He then compared the SEC to the US's industry self-regulatory body, the Financial Industry Regulatory Authority (FINRA), noting its higher salaries and more sophisticated surveillance technology. "You can really see the difference in the ...
Goldman ordered to pay $100m to NAB
STAFF WRITER  |  TUESDAY, 12 MAY 2015
... related to the sale of mortgage-linked securities before the financial crisis. The US Financial Industry Regulatory Authority (FINRA) said the claim arose out of a deal which carried "a significant conflict of interest" between Goldman Sachs and its ...
SEC and FINRA issue robo warning
ALEX DUNNIN  |  TUESDAY, 12 MAY 2015
... prepared by the SEC's Office of Investor Education and Advocacy (OIEA) and the Financial Industry Regulatory Authority (FINRA), was released on 8 May 2015. Automated investment tools include personal financial planning tools (such as online calculators) ...
ANZ asks for US-style national adviser exam
LAURA MILLAN  |  THURSDAY, 11 DEC 2014
... for financial advisers that mirrors the United States Series 7 exam run by the Financial Industry Regulatory Authority (FINRA). The bank estimated that it would cost $600,000 to kick-start the proposed exam. However the bank would look to recoup the ...
FINRA relaxes social media controls
ELISE BURGESS  |  WEDNESDAY, 18 JAN 2012
... Australian financial planners may see some of their social media compliance issues lessen if Australian regulators follow FINRA's lead, after the US regulator proposed changes to its rulings to allow planners to communicate through social media without ...
Morgan Stanley slapped with US $1 million fine
CLAIRE MCGREAL  |  MONDAY, 14 NOV 2011
... 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 interest. ...
Regulators chase social media
ELISE BURGESS  |  FRIDAY, 11 NOV 2011
... 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. The Australian ...
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