BROWSE BY TOPIC
TRENDING TAGS
Stories of Interest
- Banca IMI Securities to Pay $35Mn for Improper Handling of ADRs in Continuing SEC Crackdown
- Members of White House ‘Arts Panel’ Resign En Masse in Protest of Trump
- FINRA Whiffs on Disciplinary Sanction: Bill Singer's 'Negligent Market Manipulation in OTC Stock Promotion'
- Heather Heyer’s Mother Says, ‘I’m Not Talking to the President’
- Goldman Sachs May Have Lost $100Mn on Energy Bet Gone Wrong
- SEC Drops Case Against Ex-JPMorgan Traders Over 'London Whale'
- Financial Advisers That Invest in Technology Need to Accomplish These Two Things
- FINRA Amends Codes Regarding Expedited Arbitrator List Selection
- FINRA July 2017 Quarterly Disciplinary Review (Podcast)
- Senior Exec in Citigroup's Equities Unit Has Left
- Prudential Plotting its Escape From Fed's Tough Oversight
- Why CEOs Spurned Trump's Business Councils, in Their Own Words
- A Stockbroker, Her LLC, and Her Customers' Loans (Or Investment?) - Bill Singer
- Brian Quintenz Sworn In as CFTC Commissioner
- A Gary Cohn Resignation Would 'Crash the Markets' – Mgmt Guru Jeffrey Sonnenfeld
- Trading Firm DRW to Buy RGM Advisors - As Low Volatility Forces Out Weak HFT Players (subsc reqd)
- Reputational Damage - Rajat Gupta on Hard Road to Recovery
- 7th Circuit Affirms Spoofing Conviction - Bill Singer
- Wells Fargo Announces Board Changes
- Judge Rules Against Ex-Goldman Employee in Fed Leak Case
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FINRA Job Postings as of March 29
March 29, 2017
- Regulatory Coordinator - Member Reg., ROOR - NY, NY; Job Posting: Mar 28 - Requisition ID 005863
- Financial Op Examiner - Member Reg., ROOR - NYew York, NY; Job Posting: Mar 28 - Requisition ID 005862
- Application Manager - Member Reg., Membership Application Program - NY, NY; Job Posting:Mar 27 - Requisition ID 005772
- HR Specialist-Talent Acquisition & Mobility - HR - NY, NY; Job Posting: Mar 27 - Requisition ID 005861
- Analyst I, Market Reg. -OATS - Rockville, MD; Job Posting:Mar 27 - Requisition ID 005860
- Regulatory Analyst I - Office of the Whistleblower - Rockville, MD; Job Posting:Mar 27 - Requisition ID 005858
- Examiner - Member Reg., Sales Practice - NY, NY; Job Posting: Mar 27 - Requisition ID 005853
- HR Senior Specialist-Benefits - HR - Rockville, MD; Job Posting: Mar 24 - Requisition ID 005856
- Manager, Treasuries Transaction Reportg - Market Reg.-FI - Rockville, MD; Job Posting: Mar 24 - Requisition ID 005855
- Manager, Treasuries Customer Protection - Market Reg.-FI - Rockville, MD; Job Posting: Mar 24 - Requisition ID 005854
- Compliance Examiner, TFCE Equities- Market Reg.- NY, NY: Job Posting: Mar 23 - Requisition ID 005852
- Examiner - Member Reg., Sales Practice - L.A., CA; Job Posting: Mar 22 - Requisition ID 005848
- IS Auditor III/IS Audit Project Leader, Int. Audit - Rockville, MD; Job Posting: Mar 21 - Requisition ID 005844
- Manager, MMI-Treasuries - Market Reg. - Rockville, MD; Job Posting: Mar 21 - Requisition ID 005843
- Executive Assistant II - Office of Reg'y Ops - NY, NY; Job Posting: Mar 20 - Requisition ID 005841
- Enforcement Investigator - Rockville, MD; Job Posting: Mar 15 - Requisition ID 005836
Related Stories: Hirings/Transitions
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FINRA Job Postings as of August 16
August 16, 2017 -
FINRA Job Postings as of August 9
August 9, 2017 -
SEC Promotes Donna Esau to Associate Regional Director for Examinations
August 3, 2017