Archives for Uncategorized - Page 481
Why WordPress Knowledge Needs To Become Everyday Knowledge
The rules by which we live today are scarily intertwined with technological advancements and if you don’t at least partially accept this, you might end up sitting on the bench…
FINRA Fines Ameriprise For Missing Fraudulent Transfers
09-14-2016 | 09:57 AM Author: Law360 Ameriprise Financial Services Inc. agreed Wednesday to pay a fine to settle the Financial Industry Regulatory Authority’s claims it failed to catch and stop…
CFPB Fines Wells Fargo for Opening Fraudulent Accounts
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FSC fines Mega Bank, orders executives fired
The Financial Supervisory Commission (FSC) yesterday handed down punitive measures to Mega International Commercial Bank’s (兆豐銀行) New York branch after the New York State Department of Financial Services (DFS) last…
FINRA fines Ameriprise $850K for supervisory failures
FINRA fined Ameriprise $850,000 for failing to properly supervise one of its registered representatives who converted $370,000 in client funds for personal use, according to the regulator. The registered rep…
SEC Approves FINRA Capital Acquisition Broker Rules
The Securities and Exchange Commission ("SEC") recently approved FINRA’s capital acquisition broker rules. A copy of the approval order is available here. These rules apply to broker-dealers that have been…
New Requirements for Algorithmic Traders May Prove Challenging
Fund Forum Algorithmic trading has occupied an increasingly prominent role on Wall Street. The "flash crash" in 2010 and its aftermath began to pique the interest of the regulators, as…
FINRA Fines Ameriprise Financial Services, Inc. $850000 for Fai
Office Manager Took $370,000 From Own Family’s Brokerage Accounts WASHINGTON --(BUSINESS WIRE) The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Ameriprise Financial Services, Inc. $850,000 for…
Ameriprise Financial (AMP) Fined by FINRA Over Failure to Supervise Transfer of Funds from …
Get access to the best calls on Wall Street with 's Ratings Insider Elite. Get your Free Trial here. The Financial Industry Regulatory Authority (FINRA) announced that it has fined…
S3 Rolls Out New Rules Coverage, Looks to Expand Regulatory Coverage Capabilities
Austin, Texas-based S3 has upgraded its Regulatory Reporting Suite offering to include coverage for US Securities and Exchange Commission (SEC) Rule 606 and further analysis for the upcoming Finra Tick…