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March 23, 2018
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Blog
What is FINRA? FINRA stands for Financial Industry Regulatory Authority. FINRA is private corporation that acts as a self-regulatory organization. FINRA provides regulatory services to the financial industry, without the need of taxpayer funding and is not a part of the U.S. Government. FINRA’s entire existence is
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November 20, 2013
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Blog, Securities Fraud
Securities regulation is intended to protect all participates in the securities market. This includes investors as well as financial professionals, broker-dealers, businesses and the various securities markets. In addition to protection, regulators are designed to maintain market integrity and efficiency. The
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December 6, 2011
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Blog, Securities Fraud
In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a proposal for a new rule, Rule 5123, which would have an impact on the offering of private placements. FINRA’s proposed Rule 5123, according to SEC documents, “would require that
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November 14, 2011
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Blog, Securities Fraud
According to a Financial Industry Regulatory Authority (FINRA) press release, “it has fined Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal
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October 17, 2011
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Blog, Securities Fraud
According to canadiansecuritieslaw.com the Financial Industry Regulatory Authority (FINRA) recently “published proposed amendments to its rules that would require its members and associated persons that offer or sell private placements, as well as those that participate in the preparation of private placement
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