Latest Financial Industry Regulatory Authority Stories

NEW YORK, May 15, 2013 /PRNewswire/ -- (OTCQB: FBCD) FBC Holding, Inc. would like to update its shareholders on recent events. FBC Holding Inc. reports the resignation of Kevin Wright as director, officer and consultant to the company. Such resignations were effective on May 8, 2013 (as director), and May 9, 2013 (as consultant and officer). Mr. Wright did not provide the Company with a reason for his resignation. Frank Russo, FBC Holding's CEO, stated that, "Kevin was engaged for...

NEW YORK, May 1, 2013 /PRNewswire/ -- ConvergEx Group, a leading provider of global brokerage and trading-related services, today announced that LiquidPoint customers will be able to meet the new Electronic Blue Sheet (EBS) reporting mandate when the SEC / FINRA rule goes into effect on November 1, 2013. The new regulations require brokers to include Large Trader IDs and also to be able to provide time stamps for every execution report when submitting securities transaction...

RENTON, Wash., April 30, 2013 /PRNewswire/ -- Erado, the nation's leading compliance and archiving firm in electronic communication, will be an exhibitor at the 2013 FINRA Annual Conference in Washington D.C. Erado compliance professionals will be attending the show at the Renaissance Hotel from May 20th through the 22nd, 2013. They will be available to answer any questions regarding compliance solutions for social media capture, journaling, archiving and email encryption...

JERUSALEM, April 25, 2013 /PRNewswire/ -- Medisafe 1 Technologies Corp. (OTCBB: MFTH), a developer of patented technologies that physically prevent unauthorized administration of prescription medications, announced today that the Company has filed the necessary corporate action form for the dividend distribution to its shareholders with FINRA and which is currently under review at FINRA. About Medisafe 1 Technologies Medisafe 1 Technologies seeks to effectively...

MIAMI BEACH, FL, April 24, 2013 /PRNewswire/ - Rangemore Film Productions Corp. ("Rangemore") (formerly Auctions International Inc.)(OTCPINK:AUCI) today announces that it has received notification from FINRA that all the necessary documents relating to the name and symbol change have been approved and that the new name of company has been recognized with a new symbol granted.  The new trading symbol for Rangemore Film Productions Corp. will be RANF and will take effect at the open...

Offers New Industry Standard Ahead of Potential Regulatory Changes NEW YORK, April 11, 2013 /PRNewswire/ -- ConvergEx Group, a leading provider of global brokerage and trading-related services, today announced that PerformEx(SM), its transaction cost analysis product, now gives customers dozens of new tools to view and analyze every aspect of a trade's life cycle as it happens. With the new features, PerformEx now offers as many order details as a trader could ever want or need -...

NEW YORK, April 8, 2013 /PRNewswire/ -- (OTC Markets: FBCD) FBC Holding, Inc. would like to update its shareholders on recent events. We previously announced that we have begun discussions with several operating businesses with an interest in bringing those entities into FBC Holding. We are pleased to announce that we have executed a Letter of Intent to purchase substantially all of the assets of a US-based provider of a unique suite of solutions aggregated into a proprietary...

SANTA CLARITA, Calif., April 3, 2013 /PRNewswire/ -- U.S. ENERGY INITIATIVES (OTCPink: USEI) is pleased today to announce that Financial Industry Regulatory Authority ("FINRA") has approved its name change to U.S. ENERGY INITIATIVES CORPORATION INC. FINRA announced yesterday that, "This corporate action will take effect at the open of business today 4-3-2013." Along with this name change there was a domicile change, there was No CUSIP change, No reverse split done or contemplated, No...

NEW YORK, March 27, 2013 /PRNewswire/ -- ConvergEx Group, a leading technology company, today announced that it has made its patented* ADR Direct(®) and Reverse ADR(SM) products available to its customers through RealTick(®), its award-winning EMS platform.** ConvergEx customers using RealTick have access to a new user-friendly workflow that centralizes all the components of ADR conversions with global trade execution. The comprehensive functionalities begin in the trade montage...

NEW YORK, March 15, 2013 /PRNewswire/ -- ConvergEx Group, a leading technology company, today announced that ten firms have successfully submitted their quarterly March 1 Form PF filings using Eze Castle Software's* Regulatory Filings Manager. These firms have a combined Regulatory Assets Under Management of over $32 billion and included hedge funds, institutional asset managers and private equity funds. Since launching Regulatory Filings Manager in June of 2012, 25 firms are using...