Stifel (SF) Subsidiaries to Pay $2.3M to Settle FINRA Claims [Yahoo! Finance]
Stifel Financial Corporation (SF)
Last stifel financial corporation earnings: 7/30 06:00 am
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US:NYSE Investor Relations:
stifel.com/investor-relations
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Source: Yahoo! Finance
restitution over alleged violations of the Financial Industry Regulatory Authority's (“FINRA”) rules relating to non-traditional exchange-traded products (ETPs). In its order, FINRA said that the firms did not establish, maintain and enforce supervisory systems, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with their suitability obligations. The fine comes 10 years after the firms faced similar allegations. In January 2014, the firms were ordered to pay $1 million to settle similar violations. From January 2014 to June 2014, the firms took steps to address the supervision of non-traditional ETPs, including revising their WSPs and implementing new automated alerts to monitor holding periods. However, according to FINRA, between June 2014 and March 2018, the firms' supervisory system was still not reasonably designed. The WSPs could not provide reasonable guidance on how to identify and address potentially unsuitable non-traditiona
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SF
News
- Inflation data could force Fed's hand on rate hikes: Economist [Yahoo! Finance]Yahoo! Finance
- New inflation reading reinforces Fed's higher-for-longer stance [Yahoo! Finance]Yahoo! Finance
- Transaction in Own Shares [Yahoo! Finance]Yahoo! Finance
- Stifel Financial Corp. (NYSE:SF) Q1 2024 Earnings Call Transcript [Yahoo! Finance]Yahoo! Finance
- Deutsche Bank shares up 8% after first-quarter profit beat, investment banking recovery [MSNBC.com]MSNBC.com
SF
Earnings
- 4/24/24 - Miss
SF
Sec Filings
- 4/26/24 - Form DEF
- 4/26/24 - Form DEFA14A
- 4/26/24 - Form ARS
- SF's page on the SEC website