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FINRA fines Citigroup in stock borrow programme

The Financial Industry Regulatory Authority has fined Citigroup $650,000 for violation of disclosure and supervisory norms involving a stock borrow programme.In its first enforcement action......

Wall Street to have new circuit breakers

The US market regulators have proposed new restrictions to rein in volatility of individual stocks, a move that comes after the Wall Street crashed due to severe volatility in the shares of certain......

Citigroup to pay $6,00,000 fine

Citigroup will have to pay $6,00,000 in fine to an US regulator for providing derivative transactions as that helped foreign clients avoid paying billions of dollars in taxes on dividends, a media......

How to find the right financial advisor

When many people think of the term "financial advisor", they picture a stressed out Wall Street type sitting behind a computer or telephone placing buy and sell orders and attempting to make their......

7 lessons to learn from a market downturn

You can never really understand investing until you weather a market downturn. The valuable lessons learned can help you through the bad times and can be applied to your portfolio when the economy......
  Web results for Finra
Capital Forensics Hires Compliance & Regulatory Legal Expert to Lead West Coast Expansion

From the Wires Eric Hagler, J.D., General Counsel and Former Judge, Joins CFI's Executive Team Aug. 27, 2015 07:15 AM ARLINGTON... ...

http://in.sys-con.com/node/3430325
Market Volatility and Interest Rates Lead Advisor Concerns

Eaton Vance (NYSE:EV) Intraday Stock Chart Today : Tuesday 25 August 2015 BOSTON , Aug. 25, 2015 /PRNewswire/ -- Key Advisor Top-of-Mind... ...

http://in.advfn.com/p.php?pid=nmona&article=68289504
Berthel Fisher Leverages Envestnet's ENV 2 to Enhance Wealth Management Solutions

Envestnet, (NYSE:ENV) Intraday Stock Chart Today : Tuesday 25 August 2015 CHICAGO , Aug. 25, 2015 /PRNewswire/ --Envestnet, Inc. (NYSE: ENV)... ...

http://in.advfn.com/p.php?pid=nmona&article=68288364
Maxim Group and Certent Enhance Technology for Equity Plan Administration

From the Wires Aug. 20, 2015 03:00 PM PLEASANTON, Calif. , Aug. 20, 2015 /PRNewswire/ --Maxim Group LLC and Certent, Inc. announce the... ...

http://in.sys-con.com/node/3422604
11 tips for effective cybersecurity

(Image: Shutterstock.com) With major data breaches making headlines on a near-weekly basis, many in the securities industry have wisely begun... ...

http://www.automnews.com/?p=261200

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