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Univest securities, llc announces closing of $10 million registered direct offering for its client gd culture group limited (nasdaq: gdc)
New York, Nov. 03, 2023 (GLOBE NEWSWIRE) — Univest Securities, LLC (“Univest”), a member of finra ...
November 3, 2023, 8:30 pm
finra lists irmaa certified planner’s irmaacp as industry’s first professional irmaa designation
Lincoln, Nebraska, Oct. 25, 2023 (GLOBE NEWSWIRE) — IRMAA Certified Planner is proud to announce that FINRA, The Financial Industry Regulatory Autho...
October 25, 2023, 5:21 pm
Biostax announces finra approval for name and ticker symbol change, signals entry into global substance abuse commercial markets and pioneering hiv treatment
ORLANDO, Fla., Oct. 24, 2023 (GLOBE NEWSWIRE) — Biostax Corp (OTC Pink: BTAX), a leading public company specializing in healthcare solutions, today ...
October 24, 2023, 1:15 pm
Bgc faces regulatory settlement for supervisory lapses
BGC Financial, L.P., a member of the Financial Industry Regulatory Authority (FINRA), has submitted a Letter of Acceptance, Waiver, and Consent (AWC) ...
October 23, 2023, 12:26 pm
News nuggets | 19 october: finra's prop trading exemption; kucoin's new futures platform
finra Amends Exemption for Proprietary Trading FirmsThe Financial Industry Regulatory Authority (FINRA)...
October 19, 2023, 10:53 am
Too young to trade? fidelity's age oversight costs firm $900,000
Financial services firm Fidelity Brokerage Services has agreed to pay a $900,000 fine to settle charges by Wall Street's self-regulator that flaws in ...
October 3, 2023, 11:36 am
Univest securities, llc announces closing of $5 million initial public offering of ordinary shares and full exercise of exercise of underwriters’ over-allotment option for its client davis commodities
New York, Sept. 21, 2023 (GLOBE NEWSWIRE) — Univest Securities, LLC (“Univest”), a member of finra ...
September 21, 2023, 8:20 pm
Gary gensler addresses mmtlp stock in new hearing
Months after the Financial Industry Regulatory Authority (FINRA) halted trading of MMTLP stock, the former preferred shares of Meta Materials (NASDAQ:...
September 13, 2023, 3:25 pm
Ncla amicus brief asks appeals court to topple finra’s illegal ‘private’ enforcement regime
Alpine Securities Corporation v. Financial Industry Regulatory Authority, United States of America Washington, D.C., Sept. 05, 2023 (GLOBE NEWSWIRE) �...
September 6, 2023, 1:39 am
Congressional research service issues new report on mmtlp stock trading halt
When the Financial Industry Regulatory Authority (FINRA) halted trading of MMTLP in December 2022, it led to a massive outcry. In their final trading ...
August 23, 2023, 11:52 am
Amc stock alert: adam aron calls out ‘fail to deliver' shares
AMC Entertainment (NYSE: AMC ) stock is in the spotlight after CEO Adam Aron revealed that the company had repeatedly contacted the New York Stock Exc...
August 2, 2023, 3:12 pm
finra imposes a $900k fine on credit suisse’s us business arm
finra stated: The firm’s late and inaccurate TRACE reports violated ...
June 26, 2023, 10:22 am
finra slaps $900k penalty on credit suisse's us subsidiary
The Financial Industry Regulatory Authority (FINRA) has slammed a censure and fine of $900,000 on Credit Suisse for reporting more than 9,000 late tra...
June 26, 2023, 8:54 am
Evolve transition infrastructure announces date of effectiveness of reverse split
HOUSTON, June 23, 2023 (GLOBE NEWSWIRE) -- Evolve Transition Infrastructure LP (OTC: SNMP) (“Evolve”) today announced that it intends to implement...
June 23, 2023, 4:15 pm
finra must respond to mmtlp lawsuit by may 19
Meta Materials Preferred Shares, or MMTLP stock, has been left in limbo since the U3 halt imposed by the Financial Industry Regulatory Authority (FINR...
May 10, 2023, 1:00 pm
Univest securities, llc announces closing of $9.55 million registered direct offering and private placement for its client gd culture group limited (nasdaq: gdc)
New York, May 04, 2023 (GLOBE NEWSWIRE) — Univest Securities, LLC (“Univest”), a member of finra ...
May 4, 2023, 8:10 pm
Dear mmtlp stock fans, mark your calendars for may 30
Shareholders of MMTLP have been left in limbo following the U3 halt imposed on Dec. 9. Many shareholders blame the Financial Industry Regulatory Autho...
May 3, 2023, 12:55 pm
Dear mmat stock fans, get ready for finra to go to court
Meta Materials (NASDAQ: MMAT ) and MMTLP are in full focus after a shareholder filed a petition for pre-action disclosure against the Financial Indust...
May 2, 2023, 3:15 pm
Mmtlp stock alert: finra releases statement on mmtlp trading halt
More than three months after the Financial Industry Regulatory Authority (FINRA) halted trading on MMTLP, the agency has finally issued a statement. T...
March 20, 2023, 2:48 pm
finra fines webull $3 million for approving unqualified customers for options trading
finra stated: For example, the firm approved more than 2,500 customers under the age of 21 to trade opt...
March 10, 2023, 10:45 am