Financial Industry Regulatory Authority

Powin Corp. will begin trading soon on the Over-the-Counter Bulletin Board. The Tigard company announced Wednesday it had received final clearance from the Financial Industry Regulatory Authority to begin trading under the symbol PWON in the next 30 days. - read more at BizJournals - Manufacturing

A U.S. securities regulator is taking steps to prevent erroneous trades made in dark pools and other private markets from accidentally triggering the array of safeguards introduced in the wake of the May 6 flash crash. The Financial Industry Regulatory Authority, or Finra, is tightening industry practices ... - read more at Fox Business

Regular readers of Sense on Cents are more than well aware of the amount of focus and attention I have directed toward Wall Street's self-regulatory organization, FINRA. That said, I am compelled to highlight a recent press release for the simple reason that if even one new person learns of this information ... - read more at Benzinga

BY JOSEPH A. GIANNONE NEW YORK (Reuters) - Despite an uprising among thousands of small U.S. brokerages, Wall Street watchdog FINRA is unlikely to adopt several proposals that would change the way it operates. Three small-broker executives became on Aug. 12 the first dissidents ever to win election ... - read more at Fox Business

A Zions (NASDAQ:ZION) subsidiary is being fined $225,000 by a regulatory authority for failing to disclose potential conflict of interests in its online CD auctions. The Financial Industry Regulatory Authority [FINRA] said Zions Direct's conflict of interest was created by the participation of its affiliate, ... - read more at Fox Business

(Corrects 2nd paragraph to specify that debt sold by UBS was issued by Lehman, which went bankrupt in 2008) By Joseph A. Giannone NEW YORK (Reuters) - Even as UBS launches a global campaign to revive its banged-up brand, the Swiss bank's U.S. brokerage faces another costly and embarrassing wave of regulatory ... - read more at Fox Business

A securities industry regulator on Wednesday fined a Zions Bancorp unit $225,000 for failing to disclose a potential conflict of interest in online auctions of certificates of deposit. Zions Direct began auctioning CDs through its website in February 2007,... Zions Bancorporation - Business - Financial ... - read more at San Francisco Chronicle

NEW YORK -(Dow Jones)- Merrill Lynch Wealth Management, a unit of Bank of America Corp. (BAC), recently recruited L. Scott Horrall, a financial adviser, from UBS Wealth Management Americas. On Friday, Horrall joined Merrill's Indianapolis office. Over the past 12 months, he generated $1.1 million in ... - read more at Fox Business

NEW YORK -(Dow Jones)- UBS Wealth Management Americas, a unit of UBS AG (UBS, UBSN.VX), recently recruited financial advisers from Bank of America Corp.'s (BAC) Merrill Lynch Wealth Management and Morgan Stanley Smith Barney. On Friday, Nina Hakim joined UBS's Westfield, N.J., office from Merrill Lynch. ... - read more at Fox Business

The Financial Industry Regulatory Authority is taking another crack at a proposal that addresses how much financial information parties must exchange during arbitration disputes. Finra withdrew an earlier proposal after widespread criticism from investor and brokerage industry advocates. Dow Jones columnist ... - read more at Market Watch