Entries tagged "Financial Industry Regulatory Authority"

You have executed a tag search on The Deal Pipeline. Below, you will find a comprehensive list of stories tagged "Financial Industry Regulatory Authority."

4 result(s) displayed (1 - 4 of 4)

Facebook stalked by FINRA, SEC, Senate

FINRA, the SEC, the Senate Banking panel and at least one attorney general are all examining the IPO. Continue reading

Posted on May 24, 2012 4:29 PM

MF Global gets interim cash OK

The bankrupt brokerage firm run by former N.J. Gov. Jon Corzine gains the interim clearance after lender J.P. Morgan Chase withdrew an objection. Continue reading

Posted on November 3, 2011 9:17 AM

On background

Athorough investigation of a deal's principals can alert investors to information that impacts a transaction's integrity and the character of the individuals involved. Continue reading

Posted on March 25, 2011 12:16 PM

Movers & shakers: June 29, 2009

UBS filed a claim with claim with the Financial Industry Regulatory Authority against Jefferies & Co., which it says unlawfully poached 36 bankers. Two bankers... Continue reading

Posted on June 29, 2009 12:00 AM

Movable Type search results powered by Fast Search