FINRA - Financial Industry Regulatory Authority Rating

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CONTACT INFORMATION

FINRA - Financial Industry Regulatory Authority
(301) 590-6500
ADDRESS
1735 K Street, Washington, District Of Columbia, 20006
State
District Of Columbia
Linked In
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@finra_news
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English

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Last Update: April 18, 2017 03:30 AM

Firm was viewed 1471 times (total).

FINRA - Financial Industry Regulatory Authority

(19%)

FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.

FINRA is not part of the government. We’re an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.

We do this by:

  • writing and enforcing rules governing the activities of more than 4,030 securities firms with approximately 638,320 brokers;
  • examining firms for compliance with those rules;
  • fostering market transparency; and
  • educating investors.

 

Our independent regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.

Mentions

  • Businessman Stole Investor Funds for Packers Tickets, SEC Says: Enforcement
  • EB-5 Financing Lawyer: What JMBM Does to Help Developers With EB-5 Construction Financing
  • FINRA Panel Bars Rep. In $100M EB-5 Dispute
  • Raymond James pays $150M to settle ski resort lawsuit alleging fraud
  • NMS Capital Advisors Expands Global Presence and New Hires
  • Mainsail Lodging and Development announce their 2nd EB-5 project to provide financing to Waterline Hotel Marina Resort & Beach Club on Anna Maria Island, FL
  • Enforcement: Raymond James Fined $1.45M in Vermont Immigrant Visa Case
  • Raymond James' regulatory woes pile up; newest bill is $5.95M
  • SEC and FINRA Put Industry on Notice with Recent AML Enforcement Actions
  • SEC: Couple Used Funds for Cancer Center as ‘Personal Piggy Bank’
  • This Week In Securities Litigation
  • SEC Receiver Sues Financial Firm Quiros Used For Investor Funds
  • Jay Peak: An Autopsy of EB-5 Visa Fraud, Greed and Ignorance
  • Not Every Broker-Dealer is an EB-5 Broker-Dealer
  • FundIt Securities Compliance Conference Launches Amid New Crowdfunding Laws
  • A Compilation of Enforcement and Non-Enforcement Actions
  • Does it still make sense to market your EB-5 Project in China?
  • SEC and FINRA Name EB-5 Priority in 2016
  • Reg A+ and Form 5110 Help
  • NES Financial Extends EB-5 Leadership Position
  • IIUSA Successfully Hosts its 5th Annual EB-5 Market Exchange in Dallas, Texas
  • Title III Update – timeline, rules and unclear issues
  • SEC Charges EB-5 Brokers For Not Registering
  • Portals Ask: Is my business model legal?
  • New FINRA Rule May Spark Pushback From EB-5 Agents Abroad
  • Effective Today: FINRA Rule 2040: Disclosure of Finder's Fee payments to Foreign Agents
  • Who Can Source Investors For EB-5 Projects: The World of Finders, Consultants, Attorneys, and Broker Dealers
  • Are Immigration Attorneys "Brokers" When They Assist Clients to Obtain EB-5 Visas? - SEC Actions
  • FINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings
  • 15-07 SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation,*
  • Portals Ask: Under SEC Rule 5110 do we have to prefile our offering with FINRA and, if so, what do we have to disclose?
  • The Newsletter, Broker-Dealer Beat - Foreign Finders
  • On Broker-Dealer Comp to Unregistered Peeps
  • FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions
  • SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons, Including Foreign Finders)
  • SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons, Including Foreign Finders)
  • FINRA Issues Regulatory Notice on Payments to Unregistered Persons
  • NEW FINRA RULES PROHIBIT COMPENSATION SHARING IN THE SECURITIES INDUSTRY
  • New FINRA Rule Addresses Payments to Unregistered Persons
  • New FINRA Rule Addresses Payments to Unregistered Persons
  • FINRA files proposed rule changes regarding payments made to unregistered persons
  • 2040. Payments to Unregistered Persons
  • Proposed Rule Change to Adopt FINRA Rules 0190 and 2040  in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311
  • BROKER IN DISGUISE?
  • FINRA Provides Guidance on the Applicability of the Suitability Rule to Broker-Dealers Marketing Private Placements in the EB-5 Context
  • SEC Ranieri Case: The Consequences of Being an Unregistered Finder
  • Risks In Using Unregistered Finders To Find Capital
  • To Register or Not to Register?: Broker-Dealers and Finders @ Paper this Deal
  • Paying Unregistered Finders to Raise Capital for Your Company is Generally Illegal
  • Use of Unregistered 'Finders' in Securities Transactions - Common Practice, Uncommon Risks
  • Unregistered Finders: A Trap for the Unwary
  • When Finders Aren't Keepers: Understanding and Mitigating Risks Related to Unlicensed Brokers
  • Private Placement Finders: Choice of Registering Is Difficult Following Recent Decisions

News & Updates

Businessman Stole Investor Funds for Packers Tickets, SEC Says: Enforcement
September 22, 2017
EB-5 Financing Lawyer: What JMBM Does to Help Developers With EB-5 Construction Financing
August 28, 2017
FINRA Panel Bars Rep. In $100M EB-5 Dispute
June 07, 2017
Raymond James pays $150M to settle ski resort lawsuit alleging fraud
April 17, 2017
NMS Capital Advisors Expands Global Presence and New Hires
December 22, 2016
Mainsail Lodging and Development announce their 2nd EB-5 project to provide financing to Waterline Hotel Marina Resort & Beach Club on Anna Maria Island, FL
August 24, 2016
Enforcement: Raymond James Fined $1.45M in Vermont Immigrant Visa Case
July 22, 2016
Raymond James' regulatory woes pile up; newest bill is $5.95M
July 01, 2016
SEC and FINRA Put Industry on Notice with Recent AML Enforcement Actions
June 30, 2016
SEC: Couple Used Funds for Cancer Center as ‘Personal Piggy Bank’
June 03, 2016
This Week In Securities Litigation
June 03, 2016
SEC Receiver Sues Financial Firm Quiros Used For Investor Funds
May 26, 2016
Jay Peak: An Autopsy of EB-5 Visa Fraud, Greed and Ignorance
April 21, 2016
Not Every Broker-Dealer is an EB-5 Broker-Dealer
April 18, 2016
FundIt Securities Compliance Conference Launches Amid New Crowdfunding Laws
March 28, 2016
A Compilation of Enforcement and Non-Enforcement Actions
February 02, 2016
Does it still make sense to market your EB-5 Project in China?
January 30, 2016
SEC and FINRA Name EB-5 Priority in 2016
January 21, 2016
Reg A+ and Form 5110 Help
November 30, 2015
NES Financial Extends EB-5 Leadership Position
November 25, 2015
IIUSA Successfully Hosts its 5th Annual EB-5 Market Exchange in Dallas, Texas
November 13, 2015
Title III Update – timeline, rules and unclear issues
November 09, 2015
SEC Charges EB-5 Brokers For Not Registering
October 05, 2015
Portals Ask: Is my business model legal?
September 30, 2015
New FINRA Rule May Spark Pushback From EB-5 Agents Abroad
August 28, 2015
Effective Today: FINRA Rule 2040: Disclosure of Finder's Fee payments to Foreign Agents
August 24, 2015
Who Can Source Investors For EB-5 Projects: The World of Finders, Consultants, Attorneys, and Broker Dealers
August 05, 2015
Are Immigration Attorneys "Brokers" When They Assist Clients to Obtain EB-5 Visas? - SEC Actions
July 16, 2015
FINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings
July 16, 2015
15-07 SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation,*
July 16, 2015
Portals Ask: Under SEC Rule 5110 do we have to prefile our offering with FINRA and, if so, what do we have to disclose?
July 09, 2015
The Newsletter, Broker-Dealer Beat - Foreign Finders
June 01, 2015
On Broker-Dealer Comp to Unregistered Peeps
April 06, 2015
FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions
March 27, 2015
SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons, Including Foreign Finders)
March 26, 2015
SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons, Including Foreign Finders)
March 26, 2015
FINRA Issues Regulatory Notice on Payments to Unregistered Persons
March 23, 2015
NEW FINRA RULES PROHIBIT COMPENSATION SHARING IN THE SECURITIES INDUSTRY
January 19, 2015
New FINRA Rule Addresses Payments to Unregistered Persons
January 15, 2015
New FINRA Rule Addresses Payments to Unregistered Persons
January 15, 2015
FINRA files proposed rule changes regarding payments made to unregistered persons
October 15, 2014
2040. Payments to Unregistered Persons
March 07, 2014
Proposed Rule Change to Adopt FINRA Rules 0190 and 2040 in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311
March 07, 2014
BROKER IN DISGUISE?
September 17, 2013
FINRA Provides Guidance on the Applicability of the Suitability Rule to Broker-Dealers Marketing Private Placements in the EB-5 Context
September 16, 2013
SEC Ranieri Case: The Consequences of Being an Unregistered Finder
April 16, 2013
Risks In Using Unregistered Finders To Find Capital
March 19, 2013
To Register or Not to Register?: Broker-Dealers and Finders @ Paper this Deal
October 16, 2012
Paying Unregistered Finders to Raise Capital for Your Company is Generally Illegal
March 01, 2010
Use of Unregistered 'Finders' in Securities Transactions - Common Practice, Uncommon Risks
February 02, 2010
Unregistered Finders: A Trap for the Unwary
August 25, 2009
When Finders Aren't Keepers: Understanding and Mitigating Risks Related to Unlicensed Brokers
August 22, 2008
Private Placement Finders: Choice of Registering Is Difficult Following Recent Decisions
June 11, 2008

Securities Disclaimer

This website is for informational purposes only and does not constitute an offer or solicitation to sell shares or securities. Any such offer or solicitation will be made only by means of an investment's confidential Offering Memorandum and in accordance with the terms of all applicable securities and other laws. This website does not constitute or form part of, and should not be construed as, any offer for sale or subscription of, or any invitation to offer to buy or subscribe for, any securities, nor should it or any part of it form the basis of, or be relied on in any connection with, any contract or commitment whatsoever. EB5Projects.com LLC and its affiliates expressly disclaim any and all responsibility for any direct or consequential loss or damage of any kind whatsoever arising directly or indirectly from: (i) reliance on any information contained in the website, (ii) any error, omission or inaccuracy in any such information or (iii) any action resulting therefrom.