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- Rehabilitating a Lopsided Portfolio
- When the Radoseviches began phasing into retirement in 2006, their portfolio was worth about $1.5 million. Not anymore. Don, like everyone else, was enthralled by the stock market’s seemingly unstoppable surge in value in the past 20 years. He recalls, with something like nostalgia, that “from 1990 to 2000, everything...
- Articles 2009-09-24
Additional Resources
- FINRA Adjusts OTC Manning.(Financial Industry Regulatory Authority )
- One size does not fit all. Thats what the Financial Industry Regulatory Authority FINRA discovered when it set out to adapt its Manning rules to over-the-counter trading. Dealers complained that rules designed for the listed markets would unfairly pinch their bottom lines when trading certain...
- Research articles 2007-10-01
- FINRA's OTC Compromise.(Financial Industry Regulatory Authority)(over-the-counter)(Brief article)
- OTC dealers were able to make an effective case that their sub-penny trading was hurt by Manning rules. So the Financial Industry Regulatory Authority tailored its Manning rules on over-the-counter stocks. Manning prohibits front-running, which is trading against incoming orders at prices equal...
- Research articles 2007-12-01
- Obama chooses three more to take on financial reforms
- CHICAGO — President-elect Barack Obama on Thursday named three veteran regulators to round out his economic team and vowed to revamp regulatory rules to prevent a repeat of the financial and economic debacles the country is now undergoing. He wouldn't weigh in on whether he would support a decision by...
- News items 2009-08-07
- FINRA is Right: Leveraged ETFs are Dangerous to Your Financial Health
- Chalk one up for the Financial Industry Regulatory Authority FINRA. The brokerage industry's much-maligned self-regulatory agency has, like most financial regulators, taken a lot of heat in the wake of the current market meltdown, but they got one right with their regulatory notice last month on leveraged exchange-traded funds ETFs....
- Blog posts 2009-07-13
- Power sources.(Nongovernmental organizations)(rules governing property and casualty insurance industry, securities industry and rating agencies (Securities))(Brief article)
- Nongovernmental organizations wield de facto authority, often channeled through government agencies. FINANCIAL INDUSTRY REGULATORY AUTHORITY (www.finra.org) Formerly the National Association of Securities Dealers NASD, FINRA, created in July 2007, is the largest nongovernmental regulator for all securities firms doing business in...
- Research articles 2007-11-01
- NASD and NYSE Member Regulation Combine to Form the Financial Industry Regulatory Authority - FINRA
- FINRA Commences Operations as the Securities Industry's Largest Non-Governmental Regulatory Organization
- Research articles 2007-07-30
- FINRA Announces Major Regulatory Sweeps at Senior Summit
- Professional Designations, Early Retirement Seminars Targeted WASHINGTON -- The Financial Industry Regulatory Authority FINRA today announced the initiation of two new major regulatory sweeps intended to ensure that securities firms are using appropriate sales practices in their dealings with seniors and individuals nearing retirement. FINRA CEO Mary Schapiro announced...
- Research articles 2007-09-10
- Berman DeValerio Announces Arbitration Claim Filed Against UBS Financial Services, Inc.
- An investor has filed an arbitration claim against UBS Financial Services, Inc. ("UBS Financial" or the "Company"), a subsidiary of UBS AG (NYSE: UBS), with the Financial Industry Regulatory Authority ("FINRA"), accusing the company of breaching its fiduciary duties and contract with a client, Berman DeValerio announced today.
- Research articles 2008-03-13
- Protecting the Financial Needs of Senior Investors Important, says SLM Holdings
- There is a great need for financial services catering to senior citizens. It is anticipated that over the next twenty-five years the number of Americans aged sixty-five years and older will double. Since January 2005, the Financial Industry Regulatory Authority FINRA has completed approximately one hundred formal disciplinary actions involving...
- Research articles 2008-03-10
- Private Company Marketplace , a Member of FINRA and SIPC, Announced Today the Opening of Its Internet Based, Centralized Global Financial Information Network Serving Private Companies and the Accredited Investor Community
- NEW YORK -- Private Company Marketplace PCM, a member of the Financial Industry Regulatory Authority FINRA and a member of the Securities Investor Protection Corporation SIPC announces the opening of its internet based, centralized global financial information network designed to serve growing private companies and the Accredited Investor community. PCM...
- Research articles 2008-03-27
- FINRA Warns Job Seekers About Online Classifieds Scams Aimed at Identity Theft, Financial Fraud
- WASHINGTON -- The Financial Industry Regulatory Authority FINRA today warned investors about a new scam involving online job classifieds that fraudsters use to carry out identity theft and financial fraud. In the Investor Alert Beware of Online Job Classifieds Used to Steal Your Identity, FINRA describes the latest variation...
- Research articles 2008-05-12
- FINRA Fines Centaurus Financial $175,000 For Failure to Protect Confidential Customer Information
- Firm Will Provide Free Credit Monitoring to Customers WASHINGTON -- The Financial Industry Regulatory Authority FINRA has announced today that it has fined Centaurus Financial,...
- Research articles 2009-04-28
- SROs Look to Harmonize NYSE Rule 92 and Manning.
- As the Financial Industry Regulatory Authority works toward the consolidation of member regulatory oversight functions after the merger of NASD and NYSE Regulation, efforts continue to align rule differences relating to broker-dealers trading ahead o As the Financial Industry Regulatory Authority works toward the consolidation...
- Research articles 2007-11-01
- NYSE Reg Reorganizes Trading Groups
- NYSE Regulation, after losing nearly two-thirds of its staff to the newly created Financial Industry Regulatory Authority FINRA, is reorganizing its departments that watch traders. NYSE Regulation, after losing nearly two-thirds of its staff to the newly created Financial Industry Regulatory Authority FINRA, is reorganizing its departments that...
- Research articles 2007-09-01
- Pink Sheets Presses SEC on ADRs
- Pink Sheets, for the second time in two years, is calling on the Securities and Exchange Commission to require the Financial Industry Regulatory Authority FINRA to disseminate last-sale data on American Depository Receipts ADRs traded over the counte Pink Sheets, for the second time in two years, is calling on...
- Research articles 2007-09-01
- NYSE Reg Reorganizes Trading Groups.(New York Stock Exchange -)(The regulator)
- NYSE Regulation, after losing nearly two-thirds of its staff to the newly created Financial Industry Regulatory Authority FINRA, is reorganizing its departments that watch traders. NYSE Regulation, after losing nearly two-thirds of its staff to the newly created Financial Industry Regulatory Authority FINRA, is...
- Research articles 2007-09-01
- Pink Sheets Presses SEC on ADRs.
- Pink Sheets, for the second time in two years, is calling on the Securities and Exchange Commission to require the Financial Industry Regulatory Authority FINRA to disseminate last-sale data on American Depository Receipts ADRs traded over the co Pink Sheets, for the second time in two...
- Research articles 2007-09-01
- 9 Things Brokers Won't Tell You
- Can you trust your broker to be honest with you? Read these nine cautions to find out. ...
- Articles 2009-05-14
- SEC Charges Former CFO and Six Relatives and Friends in California-Based Insider Trading Ring
- Washington, D.C., Oct. 30, 2009 — The Securities and Exchange Commission today charged the former chief financial officer of a San Francisco private investment firm and six of his relatives and friends with insider trading, alleging that their scheme collectively reaped more than $8 million in illicit profits from unlawful...
- News items 2009-10-31
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