<![CDATA[FINRA | Company News & Executive Profiles | BNET]]> en-us <![CDATA[Danger & Opportunity: Healthcare, Financial Service Reform Making Headway]]> Fri, 30 Oct 2009 14:56:20 -0700 <![CDATA[Citi Fined $600,000 For Lax Trade Monitoring]]> Reuters) - Citigroup Inc C has been fined $600,000 by the Financial Industry Regulatory Authority for failing to police derivatives transactions, including those that helped foreign clients avoid taxes on dividends. FINRA, a private-sector regulator of U.S. broker dealers, said Citi had failed to supervise and control trading strategies...]]> Mon, 12 Oct 2009 12:13:17 -0700 C C <![CDATA[Citi Faces FINRA Fine Over Derivatives Deals: Source]]> Reuters) - Citigroup Inc C is expected to be fined $600,000 by the Financial Industry Regulatory Authority over derivatives transactions that helped foreign clients avoid taxes on dividends, a source familiar with the matter said on Sunday. The fine is expected to be announced on Monday, the source...]]> Mon, 12 Oct 2009 00:11:19 -0700 C C <![CDATA[Not Breaking News: Regulator Just as Dumb as Ordinary Investors!]]> Fri, 25 Sep 2009 06:15:14 -0700 <![CDATA[Pequot referred to SEC 45 times in four years]]> Wed, 12 Aug 2009 14:38:57 -0700 <![CDATA[FINRA is Right: Leveraged ETFs are Dangerous to Your Financial Health]]> Mon, 13 Jul 2009 18:06:20 -0700 <![CDATA[9 Things Brokers Won’t Tell You]]> Thu, 14 May 2009 00:00:00 -0700 <![CDATA[Sutherland Annual Study Finds That It Sometimes Pays for Broker-Dealers and Registered Representatives to Litigate Against the SEC and FINRA]]> Thu, 05 Feb 2009 23:59:59 -0800 <![CDATA[More Questions About Schapiro AS SEC Chief]]> Wed, 24 Dec 2008 08:08:19 -0800 <![CDATA[A closer look]]> Thu, 04 Dec 2008 23:59:59 -0800