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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...

2014-09-18 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,...

2014-09-10 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...

2014-04-25 12:23:59

LOS ANGELES, April 25, 2014 /PRNewswire/ -- LA-based Internet radio and digital broadcast platform StationDigital Corporation (OTCQB: ALDV) today announced it has engaged Monarch Bay Securities as its placement agent to facilitate the placement of the company's securities of its reverse merger with Alarming Devices, Inc. StationDigital acquired an 88.3 percent controlling ownership interest in Alarming Devices on March 14, 2014 and announced completion of reverse merger on April...

2014-04-17 16:29:36

J.P. Turner and Docupace Technologies Partner to Increase Efficiencies and Move toward a Paperless Workflow ATLANTA and LOS ANGELES, April 17, 2014 /PRNewswire/ -- J.P. Turner & Company, an independent brokerage and investment banking firm, has partnered with Docupace Technologies, LLC, an industry leader in providing SEC/FINRA-compliant paperless processing systems for financial services firms, to provide straight-through processing to all of its 180 independent branch offices,...

2014-04-07 23:27:12

FastProxy provides advanced functionality for a wave of emerging pre-trade risk challenges presented by increased scrutiny on broker to broker risk compliance and new proposed wash sale requirements. New York, NY (PRWEB) April 07, 2014 Fundamental Interactions has expanded its client base as a result of recent shifts in the landscape for pre-trade risk control. Foremost among the recent changes are intensified FINRA enforcement levels on broker to broker pre-trade risk compliance and...

2014-03-27 23:27:52

Annual Barron’s Online Broker Survey names Place Trade as a Top Online Broker of 2014, to the Best for Frequent Traders list and awards highest marks for Portfolio Analysis & Reports. This is the Third Year in a Row that Place Trade has been Ranked in the Top Ten. Raleigh, NC (PRWEB) March 27, 2014 Place Trade Financial, Inc. (Member FINRA, SIPC), http://www.placetrade.com, today announces that Barron's magazine has once again awarded the online trading firm as a top online...

2014-03-12 16:24:51

NEW YORK, March 12, 2014 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM) today announced that it has approved McAdams Wright Ragen, Inc. ("MWR"), a FINRA member broker-dealer, investment advisor and investment bank, as a Corporate Broker for banks on OTCQX® Banks, a new public marketplace for U.S. community and regional banks. MWR is now qualified to advise U.S. banks and thrifts on OTCQX Banks and can provide professional guidance on marketplace requirements and capital market...

2014-03-04 23:03:03

SIGNiX's SEC/FINRA-compliant digital signature service now available within Docupace Technologies' document management system for the financial services industry. Chattanooga, Tenn. (PRWEB) March 04, 2014 SIGNiX, the leading provider of secure digital signature services, has partnered with Docupace Technologies, LLC, an industry leader in providing SEC/FINRA-compliant paperless processing systems for financial services firms, in a continued effort to bring true straight-through...


Word of the Day
caparison
  • A cloth or covering, more or less ornamented, laid over the saddle or furniture of a horse, especially of a sumpter-horse or horse of state.
  • Clothing, especially sumptuous clothing; equipment; outfit.
  • To cover with a caparison, as a horse.
  • To dress sumptuously; adorn with rich dress.
This word ultimately comes from the Medieval Latin 'cappa,' cloak.
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