Latest FINRA Stories

DOYLESTOWN, Pa., May 14, 2013 /PRNewswire/ -- Callidus Biopharma, Inc., a development-stage biotechnology company focused on creating breakthrough biologic drugs for a range of orphan diseases, announced today that it has closed on $4.6 million in Series A financing led by two strategic investors. The Company intends to use the proceeds to accelerate pre-clinical development of its drug discovery pipeline of therapies for lysosomal storage diseases (LSDs), including lead candidates...

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...

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...

DALLAS, March 21, 2013 /PRNewswire/ -- Generational Capital Markets, Inc., member FINRA/SIPC, ("GCM") an advisor to privately-held businesses for mergers & acquisitions, is pleased to announce the acquisition of the assets of its client Mentor Engineering, Inc. ("Mentor") by Trapeze Group ("Trapeze"), a subsidiary of Volaris Group ("Volaris"). Mentor Engineering, based in Calgary, Alberta has 25 years of experience specializing in fleet management equipment and mobile...

LAS VEGAS, March 11, 2013 /PRNewswire/ -- Players Network (OTCBB: PNTV), a New Media and Entertainment Company, announced today that the Financial Industry Regulatory Authority, Inc. (FINRA) has approved Players Network's common stock for trading under the stock symbol "PNTV.BB" on the OTC Bulletin Board commencing today. PNTV will remain dually listed on the QB for an unknown period of time. San Diego-based broker dealer World Trade Financial Corp who sponsored the company's move to...

MIAMI, March 6, 2013 /PRNewswire/ -- Green Innovations Ltd. (OTCQB: GNIN) (OTCBB: GNIN) ("Green Innovations" or the "Company") is pleased to provide this update clarifying the previously announced stock dividend to shareholders. As previously announced February 19, 2013, the Company has initiated, subject to FINRA approval, an issuance of a 24% dividend (the "Stock Dividend") to all common stock shareholders of record as at February 19, 2013 (the "Record Date"). The Stock Dividend...

SALT LAKE CITY, Oct. 10, 2012 /PRNewswire/ -- Zions Direct, the online broker-dealer that allows its customers to purchase corporate bonds in its daily web-based auctions, announces its weekly auction results. Since 2006, Zions Direct has auctioned over $2 billion in more than 7,000 fixed-income auctions. (Logo: http://photos.prnewswire.com/prnh/20110914/SF68814LOGO) In auctions closed from October 1, 2012 to October 5, 2012, investors purchasing corporate bonds in the auctions...

SALT LAKE CITY, Oct. 3, 2012 /PRNewswire/ -- Zions Direct, the online broker-dealer that allows its customers to purchase corporate bonds in its daily web-based auctions, announces its weekly auction results. Since 2006, Zions Direct has auctioned over $2 billion in more than 7,000 fixed-income auctions. (Logo: http://photos.prnewswire.com/prnh/20110914/SF68814LOGO) In auctions closed from September 24, 2012 to September 28, 2012, investors purchasing corporate bonds in the...

PLANO, TX, Oct. 3, 2012 /PRNewswire/ - Santa Fe Petroleum, Inc. (the "Company") (OTCBB: SFPI) (formerly Baby All Corp.) announced today the closing of $335,000 of initial financing at $.50 per share from a private placement memorandum. Bruce Hall, Chief Executive Officer of the Company stated, "We are pleased to have closed on this first round of financing for the Company.  These initial funds will be used to complete our Project Test Well in Central Texas, which our consulting...