Company: Financial Industry Regulatory Authority

393 results found

Wells Fargo and Banc of America to reimburse customers

  • June 4, 2013 December 19, 2017
  • 10:00

Ex Wolverton and Canaccord reps no longer registered

  • By: IE Staff
  • June 3, 2013 December 19, 2017
  • 13:20

Couple assured U.S. government would not allow Lehman Brothers to fail

Executives suspended for inadequate anti-money laundering programs

Fund companies need not report all social media postings

Investors should know up front about any potential conflicts of interest

Rule aims to address conflicts of interest that can arise when firms offer significant financial incentives to recruit reps but don’t tell clients

U.S. regulator giving US$1.12 million in grants to libraries to fund education programs

Free, or reduced-fee mediation available to cases involving claims of US$50,000 or less

U.S. regulator intends to use the information to develop rules specific to the portals

  • January 10, 2013 January 10, 2013
  • 16:45