67 results about this entity
Period: 05 Jan 2009 - 08 May 2024
News
The Financial Industry Regulatory Authority (Finra) has begun carrying out spot checks on how brokerage firms use sites like Twitter, Facebook and LinkedIn.
21 June 2013
US securities regulators are seeking an exemption for some financial firms to state laws banning employers from monitoring the Facebook and Twitter accounts of their staffers.
24 April 2013
Google, Nyse Technolgies and Thomson Reuters are among 31 firms to throw their hats into the ring to build a consolidated audit trail (CAT) system to monitor and analyse US trading activity.
07 March 2013
The Financial Industry Regulatory Authority (Finra) has named Citigroup's co-chief information officer Steven Randich as EVP and CIO.
28 February 2013
The Securities and Exchange Commission (SEC) has voted to force US exchanges and Finra to build a consolidated audit trail system to monitor and analyse trading activity.
12 July 2012
The broker-dealer unit of Getco has been fined $450,000 for failing to properly supervise its high-frequency trading.
23 March 2012
The Securities and Exchange Commission has charged a Latvian man with hacking into online brokerage accounts and manipulating stock prices, reaping more than $850,000 for himself and costing others millions of dollars.
27 January 2012
US watchdog Finra has been given a taste of its own medicine, scolded by the Securities and Exchange Commission (SEC) for allegedly doctoring documents before passing them on.
28 October 2011
The Financial Industry Regulatory Authority (Finra) has fined UBS Securities $12 million for failing to properly supervise short sales of securities.
26 October 2011
US regulatory body Finra has set out its latest guidance to securities firms and brokers on the use of social media sites such as Facebook, Twitter and LinkedIn.
24 August 2011
Morgan Stanley Smith Barney is set to become the first big American wealth manager to let its brokers use Twitter, although each message will have to be pre-approved by the firms.
26 May 2011
The Securities and Exchange Commission (SEC) has unveiled plans to ditch circuit breakers in favour of a 'limit up-limit down' mechanism for reducing market volatility.
06 April 2011
Welcome to Finextra. We use cookies to help us to deliver our services. You may change your preferences at our Cookie Centre.
Please read our Privacy Policy.