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Latest Financial Industry Regulatory Authority Stories

2014-11-25 23:12:23

Not only do many types of SEC and FINRA documents have to be retained, but the review and evidence of the approval process must be retained as well.

2014-11-19 23:08:41

Customers Can Take Advantage of New Data-Driven Sales Tool without Compromising Compliance RENTON, Wash.

2014-11-13 23:11:52

17a-4 offers half off their e-Disclaimer service or included with any purchase of the DataParser until the end of the year.

2014-10-30 23:09:15

Entreda CEO and co-founder Sid Yenamandra will speak at the T3 Enterprise Conference in Atlanta.

2014-10-30 20:22:24

WALNUT CREEK, Calif., Oct. 30, 2014 /PRNewswire/ -- Nancy Mullally is recognized by Continental Who's Who as a Pinnacle Professional in the field of Finance.

2014-10-29 08:42:23

Veratad's IDMatch+COMPLYsm Solution enables Acorns to verify, identity and comply with federal AML/KYC regulations in-APP and in real-time. TEANECK, N.J.

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

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.

2014-10-01 08:38:14

ARLINGTON HEIGHTS, Ill., Oct. 1, 2014 /PRNewswire/ -- Capital Forensics, Inc.


Word of the Day
swell-mobsman
  • A member of the swell-mob; a genteelly clad pickpocket. Sometimes mobsman.
Use of the word 'swell-mobsman' dates at least to the early 1800s.