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全部话题 - 话题: finra
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z***y
发帖数: 7151
1
来自主题: UMD版 - Internship in FINRA
For those who interested, you can apply internship online:
http://finra.taleo.net/careersection/internal/jobsearch.ftl
If you need know more about FINRA, bing FINRA wiki.
Please do not send me mail, I am not FINRA employee.
+++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++
Legal Extern (unpaid) - Dispute Resolution, Case Administration - Boca
Raton, FL Full-time
Florida-Boca Raton
Job Posting:Feb 7, 2011 - Requisition ID 000611
Apply|Add to My Job Cart
Graduate or Undergraduat... 阅读全帖
w*****m
发帖数: 20421
2
来自主题: Stock版 - anyone knows ABOUT FINRA
是的,FINRA EMPLOYEE是不能TRADE的,FINRA比国内
证监会的权力还大,他们监控不良非法违规操作,包括公司和个人。
我写过一个程序就找出FINRA EMPLOYEE
买卖SECURITY的TRANSACTION。因为有BUG不能及时找到,
还被FNRA警告过好几次,好在没罚款。
J**C
发帖数: 193
3
首先谢谢大家点进来…。
说说我的背景。还在国内念高中的时候和家里搬来美国,基本上在这边念了两年高中然
后大学。大学毕业之后也没有什么找工作的压力,就在玩。没什么正式的工作,有段时
间和朋友在手机店做做兼职,那时候以佣金收入为主,台湾老板也不要求报税什么的,
所以那大概一年边玩边工作的时间就直接拿的现金了。
一晃10年。过去几年工作都正常稳定,目前在申请JPM的一个职位,已经进入最后阶段
。JPM自己的4年背景调查估摸着已经差不多结束了,今天收到EMAIL说FINRA要做一个10
年的背调,是让一家叫BUSINESS INFORMATION GROUP的公司来做。
我过去很多年的工作都没有问题,唯一就是10年的边界上,有差不多一年在家里玩,差
不多一年在朋友的手机店里玩…基本上不算有正常的报税收入,况且那家手机店早已经
转手或者倒闭了。
现在在想要不要把这段所谓工作经历报上去。不报的话如果只说是UNEMPLOYED,长达两
年多,不好解释。报的话,因为人去楼空,估计也变成无法验证,W2或者1099那些自然
也是没有。
希望有相关经验的朋友指点一下。FINRA的这个10年背调是很认真地会打... 阅读全帖
j*a
发帖数: 14423
4
来自主题: Stock版 - anyone knows ABOUT FINRA
没看懂你在说啥
https://www.finra.org/about/investment-and-securities-account-restrictions-
under-finras-code-conduct
J**C
发帖数: 193
5
首先谢谢大家点进来…。
说说我的背景。还在国内念高中的时候和家里搬来美国,基本上在这边念了两年高中然
后大学。大学毕业之后也没有什么找工作的压力,就在玩。没什么正式的工作,有段时
间和朋友在手机店做做兼职,那时候以佣金收入为主,台湾老板也不要求报税什么的,
所以那大概一年边玩边工作的时间就直接拿的现金了。
一晃10年。过去几年工作都正常稳定,目前在申请JPM的一个职位,已经进入最后阶段
。JPM自己的4年背景调查估摸着已经差不多结束了,今天收到EMAIL说FINRA要做一个10
年的背调,是让一家叫BUSINESS INFORMATION GROUP的公司来做。
我过去很多年的工作都没有问题,唯一就是10年的边界上,有差不多一年在家里玩,差
不多一年在朋友的手机店里玩…基本上不算有正常的报税收入,况且那家手机店早已经
转手或者倒闭了。
现在在想要不要把这段所谓工作经历报上去。不报的话如果只说是UNEMPLOYED,长达两
年多,不好解释。报的话,因为人去楼空,估计也变成无法验证,W2或者1099那些自然
也是没有。
希望有相关经验的朋友指点一下。FINRA的这个10年背调是很认真地会打... 阅读全帖
c*****r
发帖数: 8227
6
SEC Chairwoman Mary Schapiro said Tuesday as she left a Senate Banking
Committee hearing that her agency will examine “issues” surrounding the
initial public offering in an effort to ensure confidence in public markets.
An agency spokesman declined to elaborate on just what “issues” were
under review.
Regulators intend to review claims that Morgan Stanley (MS) shared negative news regarding Facebook Inc. (FB) with institutional investors before the social-networking company went public, Reuters ... 阅读全帖
l*******m
发帖数: 468
7
来自主题: Stock版 - anyone knows ABOUT FINRA
A friend wants to join FINRA. He said he will not be allowed to trading
anymore
C********u
发帖数: 100
8
万能的BBS,有木有前辈考过FINRA的Series79exam呀?不知道问的是不是地方,偶
新入行不容易,小公司逼着尽快考出来。。。拜托考过的XDJM能否给点经验?难不难?一般需要如何准备?准备多久?求推荐并求购最新Studying Materials.
叩谢
g******r
发帖数: 347
9
来自主题: Business版 - 有人考过Finra continued eduction么
有人考过Finra continued eduction么
需要准备么?什么形式?
g******r
发帖数: 347
10
有人考过Finra continued eduction么
需要准备么?什么形式?
d*****y
发帖数: 1365
11
【 以下文字转载自 DataSciences 讨论区 】
发信人: donaghy (I am an NBA referee), 信区: DataSciences
标 题: Data science/Quant analysis positions
发信站: BBS 未名空间站 (Tue Mar 3 21:38:32 2015, 美东)
We are seeking Quantitative Research Analysts who will work as Financial
Engineers, Data Scientists, Risk Analysts or Software Developers in our
Advanced Data Analytics Unit (ADAU) at Financial Industry Regulatory
Authority (FINRA).
ADAU is a newly formed unit at FINRA to leverage on data analytics to
effectively examine and c... 阅读全帖
d*****y
发帖数: 1365
12
【 以下文字转载自 DataSciences 讨论区 】
发信人: donaghy (I am an NBA referee), 信区: DataSciences
标 题: Data science/Quant analysis positions
发信站: BBS 未名空间站 (Tue Mar 3 21:38:32 2015, 美东)
We are seeking Quantitative Research Analysts who will work as Financial
Engineers, Data Scientists, Risk Analysts or Software Developers in our
Advanced Data Analytics Unit (ADAU) at Financial Industry Regulatory
Authority (FINRA).
ADAU is a newly formed unit at FINRA to leverage on data analytics to
effectively examine and c... 阅读全帖
d*****y
发帖数: 1365
13
来自主题: DataSciences版 - Data science/Quant analysis positions
We are seeking Quantitative Research Analysts who will work as Financial
Engineers, Data Scientists, Risk Analysts or Software Developers in our
Advanced Data Analytics Unit (ADAU) at Financial Industry Regulatory
Authority (FINRA).
ADAU is a newly formed unit at FINRA to leverage on data analytics to
effectively examine and conduct surveillance of market participants in
mainly Broker-Dealer space. ADAU staff will support the examination and
surveillance efforts by closely aligning with internal... 阅读全帖
w*******s
发帖数: 1644
14
Tomorrow will begin the first day of new FINRA market rules that will affect
short sellers across the exchanges. These new rules will massively change
how traders and market makers deal with short and naked short selling of
stocks.
According to these FINRA rule filings, three new laws and regulations go
into affect starting on February 28th, and in this, it will remove a
universal exemption used by market makers to get away with failing to
deliver stock according to current SEC rules.
There... 阅读全帖
w*******s
发帖数: 1644
15
Tomorrow will begin the first day of new FINRA market rules that will affect
short sellers across the exchanges. These new rules will massively change
how traders and market makers deal with short and naked short selling of
stocks.
According to these FINRA rule filings, three new laws and regulations go
into affect starting on February 28th, and in this, it will remove a
universal exemption used by market makers to get away with failing to
deliver stock according to current SEC rules.
There... 阅读全帖
s********n
发帖数: 26222
16
金岩石
曾为国金证券首席经济学家,被海内外媒体誉为“索罗斯的中国门徒”、“纳斯达克市
场的活字典”。2010年,因“诚信危机门”,被炒得沸沸扬扬。2010年12月4日,国金
证券发公告称,公司已收到金岩石先生的辞职申请,公司接受其辞去首席经济学家的申
请。
中文名: 金岩石
国籍: 中国
职业: 学者,原国金证券首席经济学家

毕业院校: 南开大学,美国哈佛大学
从学经历
金岩石初中毕业后,被分配到开滦煤矿工作,具有七年煤矿井下机械维修工的经历
。在唐山大地震之后的1977年,他幸运地考上了南开大学经济系本科生;1979年越级考
取经济系研究生。1982年
[金岩石]
毕业后,获南开大学经济系硕士学位,并留校先后担任南开大学经济系助教、讲师。在
1984年,他又考取了南开大学经济研究所博士研究生,师从时任南开大学校长的滕维藻
教授,并获得南开大学博士学位。
87-89年为索罗斯基金学者到美国哈佛大学完成博士论文并从事博士后研究,1989
年,获南开大学经济学博士学位并继续在哈佛大学进行博士后研究。
90年在美国塔夫茨大学从事研究。
1991-200... 阅读全帖
G***O
发帖数: 223
17
Robinhood does not charge fees to open or maintain an account, transfer
funds, or buy stock.
However, there are fees charged by the US Securities & Exchange Commission
and FINRA on all sell orders. This fee is charged to all sell orders,
independent of the brokerage. Robinhood does not benefit financially from
these charges, and they are passed on the relevant regulatory agencies in
full.
SEC: $23.10 per $1,000,000 of principal (sells only) - this fee is rounded
up to the nearest penny.
FINRA Tr... 阅读全帖
y*****l
发帖数: 5997
18
来自主题: _pennystock版 - 谁来介绍一下option house,有包子
三位包子已发,没人提option house不适合玩subpenny,呵呵。
http://www.optionshouse.com/rates/fees/
Index Fees per Contract2 $0.35
OTCBB (Pink Sheets)3 $0.005/share
FINRA TAF4
Options Regulatory Fee5
Regulatory Fee on Equity and Option Sales6
1 Broker call is a variable rate that banks charge brokerages to cover the
security positions of the brokerage customers. Broker call is currently at 2
.00%.
2 OptionsHouse charges an additional $0.35 per contract on certain index
products where the exchange cha... 阅读全帖
y*****l
发帖数: 5997
19
来自主题: _pennystock版 - 谁来介绍一下option house,有包子
三位包子已发,没人提option house不适合玩subpenny,呵呵。
http://www.optionshouse.com/rates/fees/
Index Fees per Contract2 $0.35
OTCBB (Pink Sheets)3 $0.005/share
FINRA TAF4
Options Regulatory Fee5
Regulatory Fee on Equity and Option Sales6
1 Broker call is a variable rate that banks charge brokerages to cover the
security positions of the brokerage customers. Broker call is currently at 2
.00%.
2 OptionsHouse charges an additional $0.35 per contract on certain index
products where the exchange cha... 阅读全帖
m*********a
发帖数: 3299
20
(Reuters) - The U.S. Department of Justice and the Commodity Futures Trading
Commission have both held investigations into whether Bank of America (BAC.
N) engaged in improper trading by doing its own futures trades ahead of
executing large orders for clients, according to a regulatory filing.
The June 2013 disclosure, which Reuters recently reviewed on a website run
by the securities industry regulator FINRA, sheds light on the basis for a
warning by the Federal Bureau of Investigation on Janua... 阅读全帖
l*********m
发帖数: 16971
21
By AL YOON, JACOB BUNGE AND NICK TIMIRAOSAl Yoon
Updated Nov. 7, 2013 3:40 p.m. ET
Trading in thousands of unlisted shares, including the government-backed
mortgage companies Fannie Mae FNMA +4.78% and Freddie Mac, FMCC +2.71% was
frozen for more than five hours Thursday after a "connectivity issue"
knocked out stock quotes at online-quotations company OTC Markets Group Inc.
OTCM -0.64%
The outage prevented the New York company from opening trading Thursday
until 3 p.m. EST.
OTC Markets provid... 阅读全帖
E***r
发帖数: 1037
22
来自主题: Stock版 - 菜鸟请教DayTrade
FINRA Rule 4210(f)(8)(B) 的定义貌似非常含混不清
http://www.finra.org/industry/interpretations-margin-rule
“day trading” means the purchasing and selling or the selling and
purchasing of the same security on the same day in a margin account ...
4210(f)(8)(B)(ii)/01 试图进一步澄清,但还是没解释清楚
Multiple Purchases and Sales
If a customer enters an order to purchase a security and sells the
same security within the same day, but for reasons beyond the
customer’s control e.g., price, the purchase was executed in smaller
bl... 阅读全帖
d*****l
发帖数: 8441
23
冒出无数评级评价研究咨询公司(香港基地)。
炮制虚假研究报告,做空股票从中牟利。
China Agritech Further Responds to Misleading Allegations
BEIJING, Feb. 10, 2011 /PRNewswire-Asia-FirstCall/ -- China Agritech, Inc. (
Nasdaq: CAGC) ('China Agritech', or the "Company'), a leading organic
compound fertilizer manufacturer and distributor in China, today provided a
more detailed response to the inaccurate facts and misleading allegations in
a recent report by LM Research, a short seller in the Company's stock.
Contrary to the LM Research re... 阅读全帖

发帖数: 1
24
https://www.zhihu.com/question/380469661
如题哈, 还没见报, 但是已经爆了
建议修改题目为“业绩大幅回撤”,而不是爆仓。
__________________________________________________
看过经典港剧《大时代》的朋友,可能记得刘青云饰演的方展博在股市的第一次成名之
作,是“火烧连环船”,大破陈万贤。(不禁再次感慨神剧)
桥水一直使用的Risk Parity策略,看起来无懈可击,但实际上和连环船一样,整体抗
风险能力很强,但是由于反复叠加杠杆,一旦敌方火力够猛,一艘船起火,那么整个舰
队都将付之一炬。
从目前看到的信息来看,负责点火的,貌似是沙特。周瑜打黄盖,愿打愿挨;沙俄闹沙
特,重挫原油。由于原油价格下跌,沙特需要资金维持国家财政,再加上美国疫情暴发
,股市看起来没那么好,就想起来从美国赎回资金,而由于达里奥的天才销售能力,沙
特有很多资金在桥水里面,也有很多钱在类似桥水的Risk Parity里面。
但是仅有沙特这个黄盖,是不会那么夸张的,因为缺一个东西,东风。但是疫情在美国
启动的时点,几乎和沙特点火时... 阅读全帖
w****o
发帖数: 367
25
来自主题: Investment版 - 大家看看这个是不是骗子? (转载)
【 以下文字转载自 Money 讨论区 】
发信人: wookao (六味地黄丸), 信区: Money
标 题: 大家看看这个是不是骗子?
发信站: BBS 未名空间站 (Mon May 18 15:49:06 2009)
在ebay看到一个链接:
https://www.microplace.com/
就是收集小额贷款,发给第三世界贫穷国家,小额贷款对working poor来说可以扩大再
生产,帮助他们脱贫。
我就注册了一个账户,然后通过paypal投资了50块,回报是1~6不等,根据你的投资长
短,和地区不同。
今天受到他们的一个电话说,要我的Photo ID,说是我们本周的法律,为了防止ID
Theft,要SSN,Date of Birth and Photo ID.
我在FINRA上查到他们的公司的信息如下:
http://brokercheck.finra.org/Search/SearchResults.aspx?SearchGroup=Firm&SearchType=FreeForm&SearchText=microplace&FName=&MName=&LName
W****n
发帖数: 141
26
看看FINRA关于big data 和cloud的介绍。
FINRA和SEC都在用。
o********8
发帖数: 98
27

你后面一段从哪里copy出来的。我看到的是
Options Trades $9.95/trade
+ $1.25/contract $6.95/trade
+ $1.25/contract 30%
Buy stocks for $2 with automatic investing
Here's how it works:
Select from our list of over 7,000 stocks and ETFs
Schedule investments on a weekly, biweekly or monthly basis
Invest any dollar amount on Tuesdays exclusively online
Investment and funding instructions can be edited up to 5:00 PM ET on the
Monday before your purchase. Online trade commissions apply to all sale... 阅读全帖
a****b
发帖数: 3588
28
来自主题: Stock版 - 这种算day trade不
http://research.scottrade.com/public/knowledgecenter/education/article.asp?docId=59c2e9d10010443ba3dbc53db3b360f2
Day Trading
Counting Day Trades
The Financial Industry Regulatory Authority (FINRA) has implemented strict
requirements for accounts that actively day trade. To identify these
accounts, FINRA has defined a Pattern Day Trader as someone who completes
four or more day trades in a rolling five business days.
What is a day trade?
Day trading is buying and selling or selling short and buy
b******e
发帖数: 36
L*****C
发帖数: 626
30
which broker did you ask?
FROM FINRA website:
The rules adopt a new term "pattern day trader," which includes any *margin
customer* that day trades (buys then sells or sells short then buys the same
security on the same day) four or more times in five business days
http://www.finra.org/investors/smartinvesting/advancedinvesting
T*******h
发帖数: 112
31
来自主题: Stock版 - 零佣金软件席卷华尔街zz
All securities and investments are offered to self-directed customers by
Robinhood Financial, LLC, member FINRA (www.finra.org) & SIPC.
The SIPC serves two primary roles in the event that a broker-dealer fails.
First, the SIPC acts to organize the distribution of customer cash and
securities to investors. Second, to the extent a customer's cash and/or
securities are unavailable, the SIPC provides insurance coverage up to $500,
000 of the customer's net equity balance, including up to $250,000 in... 阅读全帖
E***r
发帖数: 1037
32
来自主题: Stock版 - 期权交易费:TastyWorks vs IB
1. TastyWorks
Option Roundtrip Example (Including Commissions and Fees):
A roundtrip of 10 contracts for $5/contract would have
a total cost of $12.99 ($11.43 to open and $1.56 to close),
based on the following breakdown:
Cost to Open
Commission: $10.00 = ($1 x10)
Clearing Fee: $1.00 = ($0.1 x10)
ORF Fee: $0.43 = ($0.0431 x10)
Subtotal Cost: $11.43
Cost to Close
Commission: $0
Clearing Fee: $1.00 = ($0.1 x10)
FINRA TAF: $0.02 = ($0.002 x 10)
SEC Fee: $0.11 = ($0.0000218 ... 阅读全帖
u********s
发帖数: 1047
33
来自主题: Stock版 - robinhood账户腰斩
Robinhood Financial is a member of the Financial Industry Regulatory
Authority (FINRA) and the Securities Investor Protection Corporation (SIPC),
which protects securities customers of its members up to $500,000 (
including $250,000 for claims for cash). An explanatory brochure is
available upon request or at www.sipc.org. Robinhood Financial is an SEC
Registered Broker Dealer. For more information on Robinhood Financial, you
can visit FINRA Broker Check here.
G****a
发帖数: 10208
34
一场丑闻
Facebook(代號FB)上市僅4天,但事件已從科技股最大盛事,變成臭不可耐的醜聞
。隨着股價跌近兩成,而且無論是其管理層、包銷商以至掛牌買賣的納斯達克交易所,
均出現異常行為,他們因此遇到無可避免的事情,便是被股東集體索償,多個監管機構
也介入調查。但由於法例含糊,股東索償勝訴機會不大。
最新一宗集體索償案是昨天向曼克頓美國地方法院遞交申請。周二已有另一批投資
者在加州州立法院遞交集體索償申請。
指控FB總裁等隱瞞收入轉弱預測
兩宗申請指Facebook總裁朱克伯格(Mark Zuckerberg)等內部人士,及以摩根士丹
利(簡稱大摩,代號MS)為首的包銷商,在上市前隱瞞收入增長轉弱預測,導致投資者損
失。
以上被告涉嫌在路演過程中,向投資者隱瞞Facebook「嚴重及突出下降」的收入增
長預測。Facebook承認,愈來愈多用戶轉用手機瀏覽其網站,而在流動網站上較難放置
廣告。
向曼克頓法院索償的申請書表示,大摩等包銷商的分析員,在路演後期降低對
Facebook的收入增長預測,但只「選擇性」地通知某些受優待投資者,而非向公眾公布。
除大摩外,其他包銷... 阅读全帖
c********i
发帖数: 1489
35
Ok, for anyone who wants to know VUL (variable annuities)
Disclaimer:
- All following contents come from FINRA/SEC
FINRA = financial industry regulatory authority
SEC = security and exchange commission
- I have never worked for WFG and do not think the pyramid mode would work
well;
- In fact, I myself is kind of a "victim" of WFG by buying a mutual fund
of really-high front load back in 2005; since then, I start to learn
personal finance and investment by myself

1. Variable an
c********i
发帖数: 1489
36
more, see links below,
FINRA fines improper VUL selling
http://www.lifeandhealthinsurancenews.com/News/2009/8/Pages/FINRA-Pans-VUL-Strategy.aspx
A $10,000 lesson on VUL
http://thefinancebuff.com/2007/06/10000-lesson-on-variable-universal-life.html
Hope you are not the next one!
n**********6
发帖数: 558
37
来自主题: _pennystock版 - 请教:spin off 是什么意思? (转载)
【 以下文字转载自 Stock 讨论区 】
发信人: niumowang986 (功夫牛), 信区: Stock
标 题: 请教:spin off 是什么意思?
发信站: BBS 未名空间站 (Fri Jul 2 00:14:27 2010, 美东)
见这则新闻,貌似是说我持有的母股生出个子股?
Global Online Television Corporation Spin Off information page.
On June 18th, 2010 the Board of Directors had a meeting and approved the
spin off of subsidiary Global Online Television Corporation (GOTV).
The Board of Directors has approved the record date for the spin off to be
July 16th, 2010, a proposed ex dividend pay date of July 19th, 2010, ... 阅读全帖
y*****l
发帖数: 5997
38
来自主题: _pennystock版 - 还是天朝高瞻远瞩 (转载)
既限制大盘也限制个股。大盘采用10%,20%,30%共3级熔断机制。
个股是5分钟内涨跌不能超过10%,天朝是当天10%,不一样。
Circuit Breakers and Other Market Volatility Procedures
The major securities and futures exchanges have procedures for coordinated
market-wide trading halts if a severe market price decline reaches levels
that may exhaust market liquidity. These procedures, known as circuit
breakers, may halt trading temporarily or, under extreme circumstances,
close the markets before the normal close of the trading session.
The circuit breakers ... 阅读全帖
c***s
发帖数: 70028
39
先来看看下面这个问题。
问:1000美元的贷款利率是20%,一年该付多少利息?
案: 200美元。
不过,答不出来也没关系,这样的人在美国比比皆是。新近一项研究表明,近三分之二美国人都算不清利息,约三分之一甚至不知道怎么算。
据财富报导,证券经纪人和华尔街银行的半官方监管机构FINRA对27,564名美国人进行了调查,其结果是,近三分之二美国人的基本理财知识不过关,5道测试题中答对的不超过4题。更糟的是,自金融危机以来,测试合格者的比例持续下降,从2009年的42%下降至去年的37%。
调查显示,债券知识是调查对象了解最少的一个领域。仅有28%受访者明白债券的收益率下跌时价格如何变化(价格上涨)。能回答简单财务风险问题的受访人不足一半。
因此,尽管美国是世界上最富有的国家,但并不是因为美国人懂得理财。另一项调查了印证了这一结论。
据华尔街日报报导,标准普尔评级(Standard & Poor's Ratings Services)发布的全球金融知识调查报告,世界上金融知识掌握最佳的国家不是美国而是挪威,丹麦和瑞典分列第2、3位,世界最富有国家的美国仅排名第14位。
该研究对全球148个... 阅读全帖
C******e
发帖数: 750
40
造假丑闻不断 中国概念股血溅美国资本市场
在美上市中国公司过去10年里积累起来的市场信誉,也许在最近3个月里土崩瓦解。
南方周末刊载作者冯禹丁的文章指出,“中国(在美上市)公司过去10年里积累起
来的市场信誉,也
许在最近3个月里土崩瓦解。”这是外媒对中国在美上市公司的最新评价。
3月至今两个多月间,已经有18家中国公司被纳斯达克或纽约证券交易所停牌,4家
企业被勒令退市。
为了显示自己来自全球经济的火车头,这些涉嫌造假的企业在大洋彼岸常自冠威名
中国高速传媒
(CCME)、中国教育集团(CEU)、中国绿色农业(CGA)、中国阀门(CVVT)、中国清
洁能源
(SCEI)……这些企业因此被称为“中国概念股”。
仅在一年以前,中概股还是美国金融危机之后资本市场上的强心剂。中国经济网的
数据显示,2009年
在美上市的中国公司股价几乎全线上涨,平均收益在130%左右。当年有5家中概股累计
涨幅超过1000%。
但正是因为这些公司的业绩好到令人难以置信,很快便遭到做空者的调查与猎杀,
那5家明星公司几乎
全军覆没艾瑞泰克因涉嫌造假已被停牌;东方纸业在与著名的做空者“浑水公司”(
Mud... 阅读全帖
l********g
发帖数: 6760
41
中新网8月9日电 据美国中文网报道,在华尔街工作的一名华裔女员工因为性骚扰一名
男同事被解雇。盛怒之下,她开始骚扰前雇主的人力资源部,持续申请各种职位不下
500次,终于前雇主忍无可忍把事情捅上法庭。
纽约当地媒体报道,家住布鲁克林的33岁华裔女子常玲(Ling Chan)之前在华尔街的金
融监管局(FINRA)上班。法庭文件显示,被解雇之后,常玲不断重复申请该机构的82个
职位不下500次,全部被拒绝。盛怒之下,她开始在网上对其人力资源部经理展开报复
,包括恶意评论,死亡威胁,以他的名义订购同性恋色情杂志。
金融监管局忍无可忍,在8日向曼哈顿法庭申请了针对常玲的禁令,想要阻止她继续骚
扰机构的员工。
记者赶到常玲家中采访被拒绝,她说这是“私事”。
事件的源头起于2011年,常玲还在金融监管局上班时,疯狂迷恋上一名男同事丹.斯莫(
Dan Small),随即对其展开求爱,百折不挠。在2012年的情人节,她约他出来喝咖啡约
了五次,每次都被拒绝。她还不断给心上人送礼,发短信述说真情。斯莫终于受不了,
向单位投诉,常玲也答应不再骚扰他,但最终还是忍不住给他写情书,终于在2月22日
被该机构... 阅读全帖
V*****2
发帖数: 7930
42
我又刚收到TIAA的一封EMAIL。这EMAIL讲的很清楚,所有的钱都被普林斯顿大学拿回去
了,包括我自己支付的部分。相信没那么容易拿回我的钱。普林斯顿大学是个老牌大学
,这么反复偷短期员工的钱,已经是老手,精通其中的法律问题,不是那么好打发的。
我只是碰碰运气,看能不能拿回我自己支付的钱,其他的压根儿不敢想。蒙了那么多人
都没事,会栽倒在我手上?相信没有这个可能。
Dear DR. xxxxx:
Good afternoon and thank you for your follow-up email.
Regrettably, I am unable to comment on the legal aspects of retirement plans
. I can only let you know that the vesting schedule generally determines
the availability of the funds in retirement plans. If funds are not vested,
they are returne... 阅读全帖
V*****2
发帖数: 7930
43
TIAA只有7年前的纪录,要查还得查IRS的纪录,麻烦大了。看起来还是我自己回家翻箱
倒柜更加靠谱。
Dear DR. xxxxxx:
Good afternoon and thank you for your emails with the additional information.
Dr. xxxxxx, I have submitted a request on your behalf to research the
contribution history of your Princeton University retirement plan. I asked
that if possible, the information should be sent to the address we have for
you on file. With that said, I want you to be aware that the request may
not be processed. Please allow me to explain.
We only kee... 阅读全帖
L*********s
发帖数: 3063
44
Benjamin Wey (Benjamin Tianbing Wei, Chinese: 魏天冰; pinyin: Wèi Tiānbī
ng) is a Chinese-born American Wall Street financier and CEO of New York
Global Group (NYGG).
In September 2015, Wey was indicted by the United States Department of
Justice on charges of securities fraud, stock manipulation, money laundering
, and wire fraud for his role in an alleged fraudulent scheme to profit from
undisclosed, controlling ownership interests in several companies in the
United States, including 6D Global Tec... 阅读全帖
g**1
发帖数: 10330
45
七天内三位华裔梦断华尔街 涉嫌内幕交易

来源:国际金融报

尹少华是在机场登机口被美国联邦调查局工作人员逮走的。当时,他准备从美国飞
中国。

随后,王淞江(Songjiang Wang)被逮捕,又过了两天,林育成的账户被冻结。

2月份,7天内,美国证券交易委员会(SEC)对上述三位华裔采取行动,诉讼缘由只
有一个:涉嫌内幕交易。

按照美国法律,一旦罪名成立,除了吐出全部获利,还可能课以3倍于获利的罚款。

用5个账户3周赚2905万美元2016年4月4日,一个普通的日子,但是,对于43岁的尹
少华来说,不同寻常。这一天,美国动画公司梦工场(DreamWorks)出现了新买家——“
康卡斯特公司”(Comcast)。尹少华获知此消息,通过其父母拥有的账户买入215万股梦
工厂股票。

这只是开始。根据美国证券交易委员会的说法,尹少华及相关证券公司从包括尹少
华的父母在内的5个账户中获得非法利益,“在梦工厂2016年4月份的三周内的总股票交
易量,尹少华的交易额占17%,共获利... 阅读全帖
a****2
发帖数: 3735
46
内线交易在兲朝是常态
在美国是重罪
Finra, sec 抓不到则已 但一抓就要杀一儆百
做option最容易被抓
做一次搞笔大钱就罢了
还上瘾了就傻逼了
a****2
发帖数: 3735
47
内线交易在兲朝是常态
在美国是重罪
Finra, sec 抓不到则已 但一抓就要杀一儆百
做option最容易被抓
做一次搞笔大钱就罢了
还上瘾了就傻逼了
m*********a
发帖数: 3299
48
I hope you are shorting new GM while long GS because GS gave Obama 1 million
dollars. New GM price has already up 600% since bankruptcy if you know how
to check FINRA.
ee
发帖数: 159
49
【 以下文字转载自 Stock 讨论区 】
发信人: ee (hoho), 信区: Stock
标 题: Check your broker and protect your investment
发信站: BBS 未名空间站 (Mon Feb 2 17:30:14 2009)
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm
Ameritrade is the one of the most complaint brokerage firm.
N*******1
发帖数: 30
50
来自主题: JobHunting版 - 请问我的雇主有能力办H1B吗?
我在Manhattan一家Broker-Dealer实习了半年。职位是research/analyst。我的学历
是economics master。
公司的情况是成立了7年,老板是白人。但是公司很小,没有正式的员工(都是intern
)。每年的revenue 也不高。公司受finra监管,报税正常。最近老板说可以给我办H1B
,工资也可以商量。请问我的公司符合移民局的标准吗?除了工资需要跟老板谈,还有
别的需要注意的吗?谢谢
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