finra

Welcome to the 'finra' tag page at Technorati. This page features content from the farthest reaches of the Blogosphere that authors have "tagged" with 'finra'.

Latest blogosphere posts tagged “finra”

• Bloomberg Joins Ranks Calling for FINRA Transparency

  
  Sense on Cents — Authority: 562
  Calls for increased transparency from Wall Street’s self-regulatory organization FINRA continue to mount. How so? None other than Bloomberg joins the ranks of Barrons , The New York Times , and Sense on Cents in calling on the courts to compel FINRA to release unredacted documents relating to the merger of ...
  8 hours ago

• Alan Mooney—A Good Man Done Wrong

  
  Gloria Ferris — Authority: 99
    Here is my comment on the Crain’s Investment News article which addresses the suit my friend Alan Mooney has filed with FINRA against FSC. I know Alan Mooney personally, and feel that there is a need for some amplification of the situation surrounding him. Alan wrote the contract he used with FSC and did ...
  2 days ago

• The Anonymity Of HFT Whales May Be About To Expire, Together With Their Revenue Streams

  
  zero hedge — Authority: 761
  If you have been wondering why Rentec, GETCO, Citadel and Highbridge are sweating these days, it is because the SEC is preparing to finally remove the rock they all crawl under as they execute millions of trades each and every second. As Traders Magazine reports , "the Securities and Exchange Commission, in an effort ...
  2 days ago

• Series 79 Training Materials | Series 79 Study Guide

  
  Hedge Fund Law Blog — Authority: 127
  Information on Study Materials and Classes for Series 79 Exam One of the inquires I receive most often about the Series 79 exam involves study materials.  As of right now I have not heard of any groups who have produced a study guide or other materials for this exam.  I know that both Kaplan and STC are working ...
  2 days ago

• Hedge Fund Registration is Likely to be Required by the End of 2009 – How to Prepare Your Fund

  
  Hedge Fund News From HedgeCo.Net — Authority: 513
  (New York, NY) – There are currently several proposals on the floor of Congress that would affect the future of hedge fund regulatory requirements. The proposals call for increased transparency and accountability of hedge funds in a governmental mission to minimize systemic risk. The following proposals are ...
  4 days ago

• Congress to Give FINRA Authority over RIAs

  
  SECLaw.com - The Securities Law Blog — Authority: 113
  According to InvestmentNews.com, there has been an amendment to the Investor Protection Act which gives FINRA authority over the advisory activity of any broker-dealer that it regulates. The bill would affect anyone who is dually registered as an investment adviser and a broker, and would greatly expand FINRAs ...
  1 week ago

• Series 79 Opt In Period Begins

  
  Hedge Fund Law Blog — Authority: 127
  Investment Banking Representative Exam Goes Live Today marks the first day that current Series 7 licensed representatives of BDs who engage in “investment banking activities” can opt in to the Series 79 license .  Current Series 7’s will need to talk with their compliance department who will be able to ...
  1 week ago

• ‘There’s Something About Mary’ as Madoff Calls Schapiro “a Dear Friend”

  
  NO QUARTER — Authority: 600
  Did FINRA invest its own funds from its internal investment portfolio with Bernie Madoff? Would FINRA’s head Mary Schapiro invest with her “dear friend” Bernie? Stick with me on this and let’s navigate the newest development in this ongoing scam. My concluding remarks provide insights you won’t find in many ...
  1 week ago

• ‘There’s Something About Mary’ as Madoff Calls Schapiro a “Dear Friend”

  
  Sense on Cents — Authority: 562
  High five to JD for tipping me off to a segment about Bernie Madoff that just aired on CNBC . While little is truly new in this segment, Bernie’s assessment of his relationship with former FINRA head and current SEC chief Mary Schapiro is startling. While Ms. Schapiro and her colleagues at FINRA have downplayed any ...
  1 week ago

• As brokers hit social networks, will companies meet them there?

  
  Investor Relations Blog — Authority: 410
  A YOUNGER generation of U.S. investment advisors is pushing employers and industry regulators to allow them to use social networking websites like Facebook and Twitter to communicate with customers and prospects — and new compliance technologies may soon open the floodgates for them to do so. FINRA Chairman and ...
  1 week ago

• Media Attention Increases Heat on Mary Schapiro and FINRA

  
  Sense on Cents — Authority: 562
  Is the American public about to get a wider view into the relatively concealed world of Wall Street self-regulation? I believe so. The momentum towards real transparency is “heating up.” How is the temperature rising in the kitchens of SEC chief Mary Schapiro and her former colleagues at the Wall Street ...
  2 weeks ago

• ‘District 9′ Director Gets a New Otherworldly Sci-Fi Project

  
  Backseat Cuddler — Authority: 590
  Neill Blomkamp the director of this summer’s suprise hit District 9 is back at work getting ready to make his next sci-fi movie set in another world.Media Rights Capital has committed to the next film by “District 9” writer/director Neill Blomkamp.The untitled science fiction pic will begin production by ...
  2 weeks ago

• Barrons, New York Times, and Sense on Cents All Request Transparency From FINRA

  
  Sense on Cents — Authority: 562
  The drive for transparency in our financial regulatory system is gaining momentum. How so? The complaint brought on behalf of Standard Investment Chartered v FINRA, NYSE Group, Mary Schapiro et al is receiving increased interest. As well it should. Why? As I have always maintained, for confidence to return to our ...
  2 weeks ago

• Dick Boves Instamath Gets Him Trouble, Will No Longer Grace TVs With "Instant Analysis" Presence

  
  zero hedge — Authority: 761
  As Zero Hedge pointed out first , yesterday Dick Bove performed what should be a FINRA or SEC punishable act, by first pumping the stock of Wells Fargo live on pumpathon central CNBC, and subsequently downgrading it, causing a major market selloff. Today, Bove tries to backtrack and explains the foolishness of his ...
  2 weeks ago

• What to Do about Stock Broker Fraud

  
  Harlem Tee Shirts — Authority: 133
  Many people have had large Investment losses since the beginning of the financial crisis in August 2007. The most well-known and egregious of these is the case of Bernard Madoff, who somehow engineeered a ponzi scheme involving over $50 billion. In the case of Madoff, this was an obvious fraud, but in other cases ...
  2 weeks ago

• NASDAQ Sale: Why Would Schapiro and FINRA Execs Lie?

  
  Sense on Cents — Authority: 562
  Writing about the integrity, or lack thereof, of a senior governmental official and other high ranking financial regulators is a serious topic. Given the seriousness of this topic, I do not treat it lightly. For newer readers here at Sense on Cents , I am referring to the commentary I wrote this past Monday ...
  2 weeks ago

• Why Would Mary Schapiro and FINRA Execs Lie?

  
  Sense on Cents — Authority: 562
  Writing about the integrity, or lack thereof, of a senior governmental official and other high ranking financial regulators is a serious topic. Given the seriousness of this topic, I do not treat it lightly. For newer readers here at Sense on Cents , I am referring to the commentary I wrote this past Monday ...
  2 weeks ago

• Full Text Of Senator Schumer Letter To Mary Schapiro On Dark Pool Regulation

  
  zero hedge — Authority: 761
  We appreciate the concerted efforts by Sen. Schumer, the NYSE, Getco, Goldman Sachs, Knight Ridder, and others to "level the playing field." This is a good start. In addition to the proposals contained in this letter (assuming all are enacted), there is much more to be done before anyone can claim the market is ...
  2 weeks ago

• Attorney Richard Greenfield Brands Mary Schapiro and FINRA Execs as “Liars”

  
  NO QUARTER — Authority: 600
  Is Mary Schapiro a liar? Are other FINRA executives also liars? Fully appreciating that merely asking these questions is aggressive by its very nature, I do not ask them in a derisive fashion. The fact is, the answer to those questions in the eyes of Richard Greenfield is an unequivocal, “Yes!” Who is Richard ...
  2 weeks ago

• Attorney Richard Greenfield Brands Mary Schapiro and FINRA Execs as “Liars”

  
  Sense on Cents — Authority: 562
  Is Mary Schapiro a liar? Are other FINRA executives also liars? Fully appreciating that merely asking these questions is aggressive by its very nature, I do not ask them in a derisive fashion. The fact is, the answer to those questions in the eyes of Richard Greenfield is an unequivocal, “Yes!” Who is Richard ...
  3 weeks ago

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