Latest Breaking News On - Us financial industry regulatory authority - Page 11 : comparemela.com

Goldman Sachs fined US$3mn for marking short sale orders as longs

Goldman Sachs fined US$3mn for marking short sale orders as longs
forexlive.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from forexlive.com Daily Mail and Mail on Sunday newspapers.

Us financial industry regulatory authorityGoldman sachsIndustry regulatory authorityGoldman sachs short sales long

US state regulators announce $10M settlement with Robinhood for failing investors

An investigation into Robinhood’s services and system outages by the North American Securities Administrators Association resulted in the firm agreeing to pay more than $10 million.

United statesSouth dakotaNew jerseyAndrew hartnettDepartment of financial protection innovation californiaCalifornia department of financial protectionUs financial industry regulatory authorityAmerican securities administrators associationCalifornia departmentFinancial protectionIndustry regulatory authority

Beijing Can No Longer Skirt the SEC Regulations

Commentary The days of a double standard for China are ending. Chinese companies will no longer be able .

United statesHong kongAntonio graceffoGary genslerYork stock exchangeUs financial industry regulatory authorityChinese communist partyExchange commissionChina securities regulatory commissionShanghai jiaotong universityPublic company accounting oversight boardHolding foreign companies accountableShanghai university of sportAmerican military universitySarbanes oxley actHolding foreign companies accountable act

U S regulator warns of pump-and-dump IPOs, many from China

By Echo Wang NEW YORK (Reuters) - The U.S. Financial Industry Regulatory Authority (FINRA) warned on Thursday it was seeing a number of small initial .

New yorkUnited statesHong kongNew york stock exchangeMarcum bernstein pinchukYork stock exchangeNasdaq incUs financial industry regulatory authorityIndustry regulatory authorityDrew bernsteinMarcum bernsteinEcho wangLincoln feast

US regulator warns of pump-and-dump IPOs, many from China

Most of these initial public offerings raise less than $25 million for companies worth less than $100 million, FINRA said.

Hong kongMarcum bernstein pinchukYork stock exchangeUs financial industry regulatory authorityNasdaq incNew york stock exchangeIndustry regulatory authorityDrew bernsteinMarcum bernsteinIpos in usUs iposUmp and dump iposUs financial industry regulatory authorityUs finraNew york stock exchangeHinese ipos in us