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Latest Financial Industry Regulatory Authority Stories

2014-09-23 08:36:23

NEW YORK, Sept. 23, 2014 /PRNewswire/ -- Thinspace Technology, Inc. (OTCQB: THNS) is a global provider of reliable, scalable and affordable application delivery, virtualization, and cloud client technology to public and private sector companies and organizations of all sizes. The Company's list of private and public sector customers include NASA, PWC, Deutsche Bank, Toyota, as well as, NHS, local councils, universities, schools, and housing associations. With over 5,000 enterprise...

2014-09-18 23:11:06

FINRA Rule 2211 relates to institutional sales material and correspondence including supervision and review requirements and standards for recordkeeping and content. The SEC Compliance DeskTop has added support for Rule 2211 to complement its other compliance platforms for Rule 17a-4 and Rule 15a-6. Millbrook, NY (PRWEB) September 18, 2014 The SEC Compliance DeskTop now provides the platform necessary to adhere to Rule 2211. Under FINRA Rule 2211, broker/dealers are required to review,...

2014-09-16 23:13:13

Established Customers Show Validation of InvestorIDTM in Mature Private Placement Marketplace Buffalo, NY (PRWEB) September 16, 2014 CrowdBouncer announced today that two new customers have signed up to use its InvestorID™ platform (http://www.InvestorID.com): Merriman Capital, Inc. (Member, FINRA / SIPC), a broker-dealer based in San Francisco that operates the Digital Capital Network, and Spencer Trask Ventures, Inc. (Member, FINRA / SIPC), an investment bank and private equity firm...

2014-09-11 08:25:10

NEW YORK, Sept. 11, 2014 /PRNewswire/ -- Extreme Networks Inc. (NASDAQ: EXTR) is involved in providing computer network hardware products and services. Also, the company offers various other services geared toward supporting end users, resellers, and distributors. It seeks to provide cutting edge technology products and services to various industries internationally. It appears that the disappointing (psychologically and emotionally) earning releases were the only factors that...

2014-09-10 23:07:59

American Homeowner Preservation Founder and CEO Jorge Newbery moderated the SEC/FINRA & Selling Regulations Panel at IMN’s Crowdfunding Forum for Real Estate Chicago, IL (PRWEB) September 10, 2014 American Homeowner Preservation (“AHP”) Founder and CEO Jorge Newbery chaired the SEC/FINRA & Selling Regulations panel this week at IMN’s Crowdfunding Forum for Real Estate in Santa Monica, CA. The two-day conference concluded on Tuesday afternoon and was highlighted by a...

2014-09-03 16:31:59

NEW YORK, Sept. 3, 2014 /PRNewswire/ -- ConvergEx Group, a leading provider of global brokerage and trading-related services, today announced enhancements to its Closing Price, POV and Abraxas(SM) trading algorithms that will seek to optimize client participation in the NASDAQ, NYSE and NYSE Arca opening and closing auctions. http://photos.prnewswire.com/prnvar/20140730/130987 Using historical data and real-time auction imbalance information, ConvergEx's algorithms can now determine the...

2014-08-25 16:22:24

Launches October 16, 2014 on Public Television Stations OWINGS MILLS, Md., Aug. 25, 2014 /PRNewswire-USNewswire/ -- Why is it so much more fun to spend than save? Can we re-wire our brains to make smarter financial decisions? If you've ever made a financial decision you regretted the next day, you're not alone. In fact, as the emerging field of behavioral economics reveals, you're practically hard-wired to overspend, an activity that lights up the brain's pleasure centers. Thinking Money: The...

2014-08-22 23:08:24

Firstrade held its Branch Grand Opening on August 15, 2014 and is now servicing customers with online brokerage accounts from two new convenient locations. Queens, NY (PRWEB) August 22, 2014 Firstrade welcomed more than 100 guests at the grand opening of its branch and new headquarter location. The ribbon cutting ceremony was held at the new branch on Friday, August 15, 2014. US Congresswoman Grace Meng and NYC Councilman Peter Koo were present. “At Firstrade, we are constantly...

2014-08-20 12:21:16

TORONTO, Aug. 20, 2014 /PRNewswire/ - Eagleford Energy Inc. (OTCBB "EFRDF") ("Eagleford Energy" or the "Corporation"), announces that it has filed Articles of Amendment effective August 25, 2014 consolidating the common shares of Eagleford Energy Inc., on the basis of one (1) common share for every ten (10) common shares (the "Consolidation"), and changing its name to EAGLEFORD ENERGY CORP. No fractional shares shall be issued as a result of the Consolidation, and if any fractional...

2014-08-19 23:13:06

Seed Equity Ventures, LLC announces the launch of its U.S. Registered Broker-dealer and proprietary equity-based crowdfunding platform, built to connect investors with entrepreneurs and startups across the globe. San Francisco, CA and Salt Lake City, UT (PRWEB) August 19, 2014 Seed Equity Ventures, LLC (Seed Equity) announces the launch of its U.S. Registered Broker-dealer and proprietary equity-based crowdfunding platform, built to connect investors with entrepreneurs and startups across...


Word of the Day
omphalos
  • The navel or umbilicus.
  • In Greek archaeology: A central boss, as on a shield, a bowl, etc.
  • A sacred stone in the temple of Apollo at Delphi, believed by the Greeks to mark the 'navel' or exact center-point of the earth.
'Omphalos' comes from the ancient Greek.
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