FINRA

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FINRA Fines Zions Direct $225,000 for Failure to Disclose Potential Conflict of Interest in its Online CD Auctions—8/25/10
Military Spouses Receive Fellowships to Conduct Financial Counseling—8/23/10
FINRA Fines HSBC $375,000 for Unsuitable Sales of Inverse Floating Rate CMOs to Retail Customers and Related Supervisory Failures—8/19/10
Merrill Lynch to Pay More Than $2.5 Million Related to UIT Sales Charge Discount Failures—8/18/10
Securities Firms Elect Seven Industry Governors to FINRA Board of Governors; Approve Seven Proxy Proposals—8/13/10
FINRA Fines Morgan Stanley $800,000 for Deficient Conflict of Interest Disclosures in Equity Research Reports and Public Appearances by Research Analysts—8/10/10
FINRA, NASWA Deliver Job Dislocation Resource to Unemployed Workers in All 50 States—8/9/10