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Latest news and analysis on Finra (Financial Industry Regulatory Authority) (137 items)

19 May 2009
Company
Finra expels Kirlin Securities for stock manipulation
26 Mar 2009
Company
Morgan Stanley fined for early retirement promotion misconduct
24 Mar 2009
News
Programming problems led to $1.1m fine for former Wachovia units
09 Mar 2009
Company
Finra proposes Trace reporting expansion
05 Jan 2009
News
E*Trade units fined $1m over AML failings
09 Dec 2008
Company
Finra launches online mutual fund expense analyser
13 Nov 2008
Company
Finra fines Citigroup Global Markets $300,000 over commission supervision
13 Aug 2008
Company
US regulators to consolidate insider trading surveillance
05 Jun 2008
Company
James Donovan appointed senior EVP for technology and strategy at Finra
16 May 2008
Company
Finra fines TradeStation, E*Trade and CIBC for reporting violations
26 Feb 2008
Company
Oppenheimer pays $4.5m to settle FINRA market timing charges
10 Jan 2008
Company
Bloomberg Tradebook live on Finra/NSX trade reporting facility
30 Oct 2007
Company
Seven governors elected to Finra
12 Oct 2007
Company
Finra launches online compliance gateway
27 Sep 2007
Company
Morgan Stanley to pay $12.5m to settle Finra 9/11 e-mail charges
05 Sep 2007
Company
Finra adds market data section to Web site
02 Aug 2007
Company
Nyse Regulation names Marchman head of enforcement; Malitzis head of market surveillance