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Last updated on April 18, 2014 at 16:41 EDT

Latest Self-regulatory organizations Stories

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,...

2014-04-01 08:25:08

MINNEAPOLIS, April 1, 2014 /PRNewswire/ -- Red Giant Entertainment, Inc. (OTCQB: REDG) is an intellectual property development company focused on digital distribution. The digital distribution of media content reaches a wider audience for original stories and the creation of modern myths provides the consumer an interactive entertainment experience. Content distribution also serves as a platform for advertising, merchandising and transmedia development. The company's creative content...

2014-03-26 23:04:34

First Southern Securities, LLC to Provide Brokerage Platform to Kiss Trust Bel Air, MD (PRWEB) March 26, 2014 Kiss Trust has selected First Southern Securities, LLC (“FSS”), a broker dealer headquartered in Alpharetta, GA to provide brokerage account services. First Southern Securities, LLC is a boutique financial services company that provides a broad spectrum of investment banking and brokerage services to issuers, institutional and private clients throughout the United States....

2014-03-06 12:25:48

It's Time to Harmonize FINRA and State Disclosures to Public: FINRA's BrokerCheck Routinely Deletes Information about Bankruptcies, Tax Liens, Firings, Flunked Tests, Sales Practice Abuse Investigations, and Other "Red Flags" for Investors. WASHINGTON, March 6, 2014 /PRNewswire-USNewswire/ -- Investors who rely on the BrokerCheck disclosure system maintained by the Financial Industry Regulatory Authority (FINRA) to check out the background of their current or potential stockbrokers are not...

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...

2014-03-04 08:38:52

Advisors Can Now Use E-signatures for ALL of Their Business LOS ANGELES and CHATTANOOGA, Tenn., March 4, 2014 /PRNewswire/ -- Docupace Technologies, LLC, an industry leader in providing SEC/FINRA-compliant paperless processing systems for financial services firms, has partnered with SIGNiX, Inc., the leading provider of secure digital signature services, in a continued effort to bring true straight-through processing (STP) to the market for all financial advisors, Broker-Dealers and...

2014-02-26 08:27:57

NEW YORK, Feb. 26, 2014 /PRNewswire/ -- Inovio Pharmaceuticals (NYSEMKT: INO) plans to put its HPV-related cancer and pre-cancer treatment, VGX-3100, through Phase II trials in 2014. Inovio Pharmaceuticals (INO) recently announced that its revolutionary treatment, VGX-3100, is slated for a 2014 phase II trial for its efficacy treating cervical dysplasia. The treatment is just one of numerous products that Inovio has in the pipeline. In addition to VGX-3100, Inovio is prepping...

2014-02-11 08:23:45

NEW YORK, Feb. 11, 2014 /PRNewswire/ -- The global renewable energy market grew by 6.8% in 2012 to reach a global value of $474.9 billion. Analyst estimates predict that by 2017, the global renewable energy market would have a value of $637.4 billion, which represents an increase of 33.3% since 2012. With the demand for energy increasing globally many investors have wisely looked to companies like Renewable Energy Group Inc. (NASDAQ: REGI) which seen a price per share increase of over 350%...

2013-10-10 08:33:25

--Critical Resource for Municipal Time of Trade Disclosure Obligations-- CHICAGO, Oct. 10, 2013 /PRNewswire/ -- TMC Bonds and Lumesis, Inc. announced today that they have signed a strategic partnership to offer Lumesis' DIVER Advisor suite of tools to TMC's network of 5,000 traders and over 125,000 financial advisors. The software suite includes: (1) The Municipal Bond Report, (2) Compliance Reporting Engine, (3) Portfolio Alerts, and (4) Credit Notes. (Logo:...

2013-10-07 12:26:01

SAN DIEGO, Oct. 7, 2013 /PRNewswire/ -- Cardium Therapeutics (NYSE MKT: CXM) today provided an update on its exchange listing. As previously reported, a communication from the staff of the Company's current listing exchange, NYSE MKT, indicated that the Company was considered to be noncompliant with certain listing requirements based on its quarterly report for the period ended September 30, 2012, and provided that the company should submit a plan to staff of the exchange that would...