FINRA has just announced that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with securities…
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Tag: FINRA
FINRA releases report on the rise of RegTech
FINRA has released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and…
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FINRA requests comment on fintech innovation in the broker-dealer industry
FINRA has issued a Special Notice seeking comment on how it can support financial technology (fintech) innovation consistent with its…
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FINRA handles record volume of market activity through 1H 2018
The Financial Industry Regulatory Authority (FINRA) has informed the public that it has processed an unprecedented amount of market activity…
Read MoreFINRA launches enhanced public records review
FINRA has announced that it is launching an enhanced disclosure review process for public financial records of individuals seeking registration…
Read MoreSecurities America Financial Corporation’s Jim Nagengast elected to FINRA Board of Governors
Nagengast elected to fill one of three large-firm seats on FINRA Board FINRA has announced the results of voting by…
Read MoreFirm expelled from FINRA membership for allowing broker to work while suspended
Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel permanently barred broker Bruce Martin Zipper of Miami,…
Read MoreFINRA to transform Central Registration Depository and other registration systems
FINRA has just announced details of a multi-phased effort to overhaul its registration and disclosure programs, including the Central Registration…
Read MoreFINRA fines ICBCFS $5.3M for anti-money laundering compliance deficiencies
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Industrial and Commercial Bank of China Financial Services…
Read MoreFINRA names Timothy C. Scheve to Board of Governors
The Financial Industry Regulatory Authority (FINRA) announced that it has named Timothy C. Scheve, President and Chief Executive Officer of…
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