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Latest Financial Industry Regulatory Authority Stories

2014-10-15 23:13:25

As it becomes ever more difficult for compliance officers to monitor and reports their compliance activities, 17a-4, llc has bundled a number of its compliance services together into the 17a-4 Compliance Services Suite. Millbrook, NY (PRWEB) October 15, 2014 17a-4, llc has bundled together a number of compliance services into the 17a-4 Compliance Services Suite. These offerings address many of the compliance needs of a financial compliance officer including: Designated 3rd Party...

2014-10-01 08:40:13

Online Dispute Resolution Company Also Adds Randall Wood as Chief Operating Officer CORAL SPRINGS, Fla., Oct. 1, 2014 /PRNewswire/ -- Arbitration Resolution Services, Inc. (ARS), the world's first cloud-based Complete Online Dispute Resolution (C-ODR(TM)) provider, today announced the appointment of George Friedman as Chairman of the Board of Directors and Randall Wood as Chief Operating Officer. Photo - http://photos.prnewswire.com/prnh/20140930/149446 ARS is a fully automated...

2014-10-01 08:38:14

ARLINGTON HEIGHTS, Ill., Oct. 1, 2014 /PRNewswire/ -- Capital Forensics, Inc. (CFI), provider of compliance consulting, expert testimony, litigation support, and data solutions for financial institutions, announced today that Kamran Fotouhi has joined their leadership team as Executive Vice President and Managing Director. As part of CFI's leadership, Mr. Fotouhi brings vast regulatory and compliance expertise which will broaden the firm's accelerated growth and invaluable resources....

2014-09-30 23:22:12

SEC and FINRA regulations require that financial institutions retain communications with their customers. Often overlooked are communications through chat windows on websites and social collaboration sites which allow customers, partners, vendors and support desks to communicate and collaborate. Millbrook, NY (PRWEB) September 30, 2014 Though email and instant messaging are well understood as necessary to retain by financial institutions, many compliance officers are unclear as to whether...

2014-09-30 20:24:32

WASHINGTON, Sept. 30, 2014 /PRNewswire/ -- The US national securities exchanges and the Financial Industry Regulatory Authority, Inc. (FINRA), collectively, the self-regulatory organizations, or SROs, today filed with the Securities and Exchange Commission (SEC) a national market system (NMS) plan to govern the creation, maintenance and implementation of the Consolidated Audit Trail (CAT) and Central Repository. Submission of the plan meets the deadline established by the SEC. The...

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...


Word of the Day
reremouse
  • A bat.
The word 'reremouse' comes from Middle English reremous, from Old English hrēremūs, hrērmūs ("bat"), equivalent to rear (“to move, shake, stir”) +‎ mouse.
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