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Published on 14:50 GMT

Court Overturns Alpine’s Expulsion. Challenge to Finra’s Authority Remains.

A federal appellate court has blocked brokerage industry self-regulator Finra from expelling a previously sanctioned broker without a review of the case by the Securities and Exchange Commission. Finra had sanctioned Alpine Securities Corporation in 2022, …

Source: Barron's - Neutral
Published on 01:06 GMT

FINRA Says It Can 'Address' Court's Demands in SEC Oversight Ruling

While FINRA decides whether to appeal a circuit court panel’s ruling that it cannot speedily expel reps without SEC oversight, the regulator believes it can “implement measures” to meet the judges’ demands, according to a FINRA spokesperson. The self- …

Source: Wealth Management - Neutral
Published on Nov 26, 2024

FINRA's Proposed Partial Amendments to the Securities Lending and Transparency Engine (SLATE) Program

FINRA's proposed amendments reflect significant changes from the original proposal Earlier this year, FINRA filed with the SEC a proposed series of rules requiring, for the first time, the reporting of securities loans and providing for the public …

Source: JD Supra - Label Pending
Published on Nov 26, 2024

Netcapital Secures FINRA Approval for Broker-Dealer License

BOSTON, MA, Nov. 26, 2024 (GLOBE NEWSWIRE) -- Netcapital Inc. (Nasdaq: NCPL, NCPLW) (the “Company”), a digital private capital markets ecosystem, today announced that its wholly-owned subsidiary, Netcapital Securities Inc. (“NSI”), has received approval …

Distribution channels: Banking, Finance & Investment Industry ...
Published on Nov 25, 2024

Alpine v. FINRA Big News

On November 22, the US Court of Appeals for the District of Columbia Circuit granted Alpine a preliminary injunction, ruling that the Financial Industry Regulatory Authority (FINRA) cannot expel Alpine without the Securities and Exchange Commission’s (SEC) …

Source: JD Supra - Label Pending
Published on Nov 26, 2024

Ex-LPL Rep Let Business Partner Sign for Customers: FINRA

"In each of these instances, Schmidt signed his own name on each of the documents after his business partner signed for the customer," the order states. "The account documents, which included new account applications and money transfer forms …

Source: Think Advisor - Label Pending
Published on Nov 25, 2024

FINRA proposes rule change to adjust fees

Recently, FINRA proposed a rule change for immediate effectiveness, SR-FINRA-2024-019, to adjust FINRA fees to provide sustainable funding for its regulatory capabilities, citing increasing costs related to cloud hosting, cybersecurity and wage and …

Source: JD Supra - Label Pending
Published on Nov 24, 2024

DC Circuit Finds Some FINRA Authority Violates Private Nondelegation Doctrine

On Friday–the same day the Supreme Court granted certiorari in a case raising the private nondelegation doctrine–the U.S. Court of Appeals for the D.C. Circuit concluded that at least some of the authority wielded by the Financial Industry Regulatory …

Source: Reason Magazine - Center-right
Published on Nov 26, 2024

40-year-old Boston BD closes doors after losing investor complaint

Ages Financial Services had about 60 financial advisors registered under its roof. Ages Financial Services Ltd., a small Boston-area broker-dealer that opened in 1984, shut down Nov. 18, two months after losing a $1.16 million arbitration claim stemming …

Source: Investment News - Neutral
Published on Nov 26, 2024

63 brokers suspended, 4 banned in CE cheating scheme

A continuing education cheating scheme has landed at least 63 brokers suspensions and fines from the Financial Industry Regulatory Authority. Four brokers have been barred from the industry for refusing to cooperate with the investigation. The disciplined …

Source: Financial Planning - Neutral
Published on Nov 22, 2024

Court Limits FINRA's Power to Expel Brokerages

“Expulsion would likely put Alpine out of business, and would do so before the SEC performs a full review of Finra’s decision,” wrote Millett, a Barack Obama appointee. Maranda Fritz, a lawyer for Alpine, said after the ruling that Finra “exercises …

Source: Think Advisor - Label Pending
Published on Nov 22, 2024

FINRA Is Dealt a Blow by Court in Its Power to Expel Brokerages

(Bloomberg) -- The financial industry’s self-regulator likely doesn’t have the authority to “unilaterally” expel brokerages it claims have engaged in misconduct, a federal appeals court ruled, in a case that Wall Street is watching closely. The Financial …

Source: Wealth Management - Neutral
Published on Nov 25, 2024

'Do I have a trust fund?' Viral 'teenager texts' highlight how little some kids know about money

Chip Leighton's viral 'teenager texts' highlight how little some kids know about money. Courtesy: Chip Leighton Chip Leighton knows how funny kids can be. Social media posts by the creator of "The Leighton Show," which have …

Source: CNBC - Neutral
Published on Nov 22, 2024

Mercurity Fintech Subsidiary Chaince Securities, Receives FINRA Approval for Broker-Dealer Ownership Transfer

New York, Nov. 22, 2024 (GLOBE NEWSWIRE) -- Mercurity Fintech Holding Inc. (“Mercurity Fintech,” “the Company,” “we,” “us,” “our company,” or “MFH”) (Nasdaq: MFH), a digital fintech group, today announced that its wholly owned subsidiary, Chaince …

Distribution channels: Banking, Finance & Investment Industry, Environment ...
Published on Nov 25, 2024

‘Do I have a trust fund?' Viral ‘teenager texts' highlight how little some kids know about money

Chip Leighton's "teenager texts" on social media hilariously call out questions from kids to their parents, such as "Do I need to tip the eye doctor?" or "Hey, is the ATM going to be open later?" Leighton says it's not …

Source: NBC DFW - Texas - Neutral
Published on Nov 25, 2024

‘Adversary in the middle attacks’ are becoming hackers’ go-to method to bypass MFA

Microsoft has announced it has taken legal action to disrupt over 240 fraudulent websites owned by an Egypt-based cyber crime group, noting the tactics deployed in the DIY phishing operation reflect a broader shift in the industry. The firm published a …

Source: IT Pro - Neutral
Published on Nov 23, 2024

Benzinga World Championship Of Trading: Third And Final Contest Top Trader Up Over 2,000%, It's Not Too Late To Join, ...

The third and final monthly contest in Benzinga's paper trading competition powered by TradeZero kicked off on Nov. 15, giving contestants a chance to take home over $15,000 in cash and prizes as part of the more than $30,000 in cash and prizes offered …

Source: Benzinga - Neutral
Published on Nov 23, 2024

MIRECKI: Time to lower barrier to entry for Manitoba investor participation with a self-certified exemption

Breadcrumb Trail Links Money Columnists Published Nov 23, 2024 • Last updated 3 hours ago • 6 minute read Finding and accessing capital investment continues to be a challenge for many small businesses in Manitoba. Photo by David Goldman /THE …

Source: Winnipeg Sun - Label Pending
Published on Nov 23, 2024

BDA Advises NSSK on Sale of JEC to Obara Group

BDA Partners is pleased to announce that its client, Nippon Sangyo Suishin Kiko, has reached an agreement on the sale of its stake in Japan Energy Components to Obara Group, a Japan-based machine industry company comprised of the parent and a global …

Source: Web NewsWire - Label Pending

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Published on November 27, 2024 - 11:51 GMT

Banking as a Service Market Grows with API Integration, Fintech Collaboration, and Rising Demand for Embedded Banking

The Banking as a Service Market is driven by fintech innovations, API-driven platforms, and the demand for seamless financial integrations. AUSTIN, TX, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- Market Scope and Overview The …

Distribution channels: IT Industry ...
Published on November 26, 2024 - 23:30 GMT

Global Cord Blood Banking Services Market Set For 7.0% Growth, Reaching $35.03 Billion By 2028

The Business Research Company’s Early Year-End Sale! Get up to 30% off detailed market research reports—for a limited time only! LONDON, GREATER LONDON, UNITED KINGDOM, November 27, 2024 /⁨EINPresswire.com⁩/ -- The Business Research Company’s …

Distribution channels: Business & Economy, Companies ...

Published on November 27, 2024 - 09:04 GMT

APRA and ASIC release observations from the banking industry's implementation of the Financial Accountability Regime

The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments Commission (ASIC) have published a letter containing observations on registration and notification lodgements made since the Financial Accountability Regime …

Distribution channels: Banking, Finance & Investment Industry
Published on November 27, 2024 - 12:54 GMT

Isabel Schnabel: Interview with Bloomberg

27 November 2024 Euro area business activity slipped deep into contractionary territory in November, according to the S&P Purchasing Managers’ Index (PMI). Is a soft landing becoming less likely and is the risk of stagnation or even recession …

Distribution channels: Banking, Finance & Investment Industry

Published on November 27, 2024 - 12:26 GMT

WTO-ITC initiative for women receives record-high pledge from FIFA World Cup Legacy Fund

WTO Director-General Ngozi Okonjo-Iweala said: "This initiative builds on important lines of collaboration already established between the WTO and FIFA. Through our Women Exporters in the Digital Economy (WEIDE) Fund, this ground-breaking …

Distribution channels: Banking, Finance & Investment Industry
Published on November 27, 2024 - 14:00 GMT

GBT Technologies announce Agreement for Planned Acquisition of Nexus Workspaces from CGI

MIAMI, Nov. 27, 2024 (GLOBE NEWSWIRE) -- GBT Technologies, Inc. (“GBT”) has entered into non-binding agreements to acquire real estate interests in Nexus Workspace properties and to acquire a related Nexus Workspace intellectual property portfolio. As part …

Distribution channels: Companies, Technology ...
Published on November 27, 2024 - 15:00 GMT

ButcherJoseph & Co. Announced Winner of the 23rd Annual M&A Advisor Awards for the Corporate/Strategic Deal of the Year

ST. LOUIS, Nov. 27, 2024 (GLOBE NEWSWIRE) -- Saint Louis, MO, November, 2024 – ButcherJoseph & Co. was announced the winner of the Corporate/Strategic Deal of the Year by The M&A Advisor for the sale of ITR Economics to Crowe LLP. Winners were …

Distribution channels: Banking, Finance & Investment Industry, Companies ...
Published on November 27, 2024 - 13:30 GMT

Kane Biotech Announces Change in US Distribution Partner for revyve™ Antimicrobial Wound Gel

WINNIPEG, Manitoba, Nov. 27, 2024 (GLOBE NEWSWIRE) -- Kane Biotech Inc. (TSX- V:KNE; OTCQB:KNBIF) (the “Company”, “Kane Biotech” or “Kane”) announces today that BioStem Technologies Inc. (“BioStem”), has recently signed a Letter of Intent to acquire …

Distribution channels: Companies, Healthcare & Pharmaceuticals Industry ...

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Published on November 27, 2024 - 17:26 GMT

Stephanie Warlick Discusses the Stand in the Gap Method in Xraised Interview

Operational Support Strategies for Small Businesses at 5FT View Consulting KENGSINTON, MD, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- Stephanie Warlick, Founder and CEO of 5FT View Consulting, LLC, recently shared her expertise in an …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 17:12 GMT

IMPORTANT NOTICE TO LIFEMARK SECURITIES CUSTOMERS WHO PURCHASED GWG L BOND INVESTMENTS

Did Your Lifemark Securities Financial Advisor Recommend Investments in GWG L Bonds? Contact KlaymanToskes Immediately DENVER, CO, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- National investment loss and securities attorneys …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 17:12 GMT

IMPORTANT NOTICE TO CUSTOMERS OF BRUCE BEETZ/EMERSON EQUITY WHO SUFFERED INVESTMENT LOSSES

If You Suffered Losses With Financial Advisor Bruce Beetz Please Contact the Law Firm of KlaymanToskes LOS ANGELES, CA, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- National investment loss and securities attorneys KlaymanToskes …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 17:11 GMT

IMPORTANT NOTICE TO CUSTOMERS OF BROKER DAVID GEAKE WHO SUFFERED LOSSES IN GWG, MARKETSERVE, AND OTHER INVESTMENTS

Investment Losses with Barred Financial Advisor David Geake? Contact KlaymanToskes Immediately NEW YORK, NY, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- National investment loss and securities attorneys KlaymanToskes continues …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 17:08 GMT

Tom Lawlor of Process Research & Optimization (PRO) Shares Insights in Xraised Interview

Effective Change Management and Process Optimization for Fortune 1000 Companies LONDON, UNITED KINGDOM, November 27, 2024 /⁨EINPresswire.com⁩/ -- In an engaging interview with Xraised, Tom Lawlor, Executive Client Partner and Managing Partner …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 16:55 GMT

Sepp Rajaje of TechR2 Discusses Data Security Innovations and Total Data Eradication in Exclusive Interview with Xraised

COLUMBUS, OH, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- In a recent interview with Xraised, Sepp Rajaje, a visionary entrepreneur and pioneer in the field of data security, shared his extensive experience and insights into technology …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 16:36 GMT

Revolutionary Fin-tech Leader Dr. Necdet Saglam Shares Vision in Exclusive Entrepreneur Prime Interview

Dr. Necdet Saglam discusses the innovative Financial Audit Software, its market impact, global expansion plans, and future integration with AI and blockchain. LONDON, UNITED KINGDOM, November 27, 2024 /⁨EINPresswire.com⁩/ -- In a recent …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 16:31 GMT

SocialBoxBiz: Case Studies in the London Borough of Camden, The Westminster City and with Age UK City of London

With over 10 years of impact SocialBox.Biz initiative increases social impact and many companies are supporting this community interest company. LONDON, ENGLAND, UNITED KINGDOM, November 27, 2024 /⁨EINPresswire.com⁩/ -- Companies and …

Distribution channels: Banking, Finance & Investment Industry, Building & Construction Industry ...
Published on November 27, 2024 - 16:14 GMT

New Research from Serrala unveils CFOs' transformative evolution from finance leaders to growth catalysts in 2025

Serrala unveils a Forrester study on CFOs’ evolution, highlighting their shift from finance operators to strategic advisors driving strategy by 2025. NORDESDT, HAMBURG, GERMANY, November 27, 2024 /⁨EINPresswire.com⁩/ -- Serrala, a global leader in …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 16:10 GMT

IMPORTANT NOTICE: WESTERN INTERNATIONAL SECURITIES GWG L BOND INVESTORS SHOULD ACT NOW

Did Your Financial Advisor Recommend Investments in GWG L Bonds? Contact KlaymanToskes Immediately LOS ANGELES, CA, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- National investment loss and securities attorneys KlaymanToskes continues …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 16:05 GMT

Infocepts Unveils Key Strategies to Optimize Cloud Costs and Maximize ROI

Infocepts reveals key strategies to optimize cloud costs, enhance ROI, and drive business value through properly managed cloud data analytics. WASHINGTON, DC, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- With the rapid adoption of …

Distribution channels: Banking, Finance & Investment Industry, Consumer Goods ...
Published on November 27, 2024 - 16:04 GMT

تطلق Devnagri AI الذكاء الاصطناعي للمحادثة متعدد اللغات

من المقرر أن يحول الذكاء الاصطناعي المحادثة الرقمية متعددة اللغات باستجابات شبيهة بالبشر مع فهم سياقي أفضل، دقة أعلى، وقابلية للتوسع. UNITED ARAB EMIRATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- أعلنت شركة Devnagri AI، وهي شركة ناشئة …

Distribution channels: Banking, Finance & Investment Industry, Retail ...
Published on November 27, 2024 - 16:01 GMT

Devnagri AI Launches Multilingual Conversational AI

The new Conversational AI is set to transform multilingual digital communications through human-like responses with greater context, accuracy, and scalability INDIA, November 27, 2024 /⁨EINPresswire.com⁩/ -- Devnagri AI, a leading Artificial …

Distribution channels: Banking, Finance & Investment Industry, Retail ...
Published on November 27, 2024 - 16:00 GMT

Thanksgiving Travel: NYC Tops the Charts for Most Expensive Airport Rides

See the ranking of the most expensive airport rides over Thanksgiving. New York’s JFK airport took the top step as the most expensive airport ride in 2023. NEW YORK, NY, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- Obi, the global real …

Distribution channels: Banking, Finance & Investment Industry, Technology ...
Published on November 27, 2024 - 15:56 GMT

Devnagri AI Launches Multilingual Conversational AI

The new Conversational AI is set to transform multilingual digital communications through human-like responses with greater context, accuracy, and scalability UNITED ARAB EMIRATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- Devnagri AI, a leading …

Distribution channels: Banking, Finance & Investment Industry, Retail ...
Published on November 27, 2024 - 15:17 GMT

The VAT Consultant: Simplifying VAT for Businesses in Dubai and the UAE

As the implementation of Value Added Tax (VAT) continues to impact businesses in UAE, many are struggling to navigate the complex regulations and requirements. KARAMA, DUBAI, UNITED ARAB EMIRATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- Dubai, …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 15:12 GMT

Magma Group Achieves 82.45% Revenue Surge to RM8.289 Million in Q3 FY2024

KUALA LUMPUR, MALAYSIA, November 27, 2024 /⁨EINPresswire.com⁩/ -- Magma Group Berhad ("Magma" or the "Company"), a dynamic hospitality and investment holding group, is pleased to announce its financial results for the third …

Distribution channels: Banking, Finance & Investment Industry, Building & Construction Industry ...
Published on November 27, 2024 - 15:06 GMT

MergerWare Case Study by Ivey Publishing: A Strategic Approach to M&A Process Automation

How MergerWare is Shaping the Future of M&A: Ivey Publishing Case Study" BOSTON, MA, INDIA, November 27, 2024 /⁨EINPresswire.com⁩/ -- MergerWare, a leading SaaS platform for Mergers & Acquisitions (M&A), is proud to announce the …

Distribution channels: Automotive Industry, Banking, Finance & Investment Industry ...
Published on November 27, 2024 - 14:49 GMT

Ampcus Wins Corporation of the Year at CRMSDC’s 39th Annual Leaders & Legends Awards Ceremony

Ampcus Inc., a global business, technology consulting, and staffing services firm, is the first-ever certified MBE supplier to earn this prestigious award. CHANTILLY, VA, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- Ampcus Inc., a …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...
Published on November 27, 2024 - 14:44 GMT

THE TRADING GAME APP OFFERS GROUNDBREAKING TOOLS TO TEACH ASPIRING TRADERS THE SKILLS NEEDED FOR SUCCESS 

App known for innovation, evolving features and more NEW YORK, NY, UNITED STATES, November 27, 2024 /⁨EINPresswire.com⁩/ -- Trading Game, a revolutionary mobile app that teaches aspiring traders the ins and outs of successful trading, continues to …

Distribution channels: Banking, Finance & Investment Industry, Book Publishing Industry ...