Tag: FINRA
FINRA imposes $1.6M fine on Webull Financial – FX News Group
FINRA imposes $1.6M fine on Webull Financial FX News Group
fxnewsgroup.com [...]
Hidden Road becomes full service prime broker with FINRA license – FX News Group
Hidden Road becomes full service prime broker with FINRA license FX News Group
fxnewsgroup.com [...]
Ripple acquisition Hidden Road secures FINRA registration
Prime brokerage Hidden Road, which was recently acquired by Ripple for $1.25 billion, has secured a broker-dealer license from the Financial Industry [...]
FINRA imposes $250k fine on Fenix Securities
Fenix Securities LLC has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Indus [...]
FINRA censures SpeedTrader for failure to comply with best execution obligations
SpeedTrader, Inc., formerly known as Mint Global Markets, Inc., has reached a settlement with the Financial [...]
FINRA imposes $225k fine on American Portfolios Financial Services
American Portfolios Financial Services, Inc. has agreed to pay a fine of $225,000 as a part of a settlement [...]
FINRA fines StoneX Financial for alleged failure to provide best execution
StoneX Financial Inc., formerly known as INTL FCStone Financial Inc, has agreed to pay a fine of $70,000 as [...]
Cobra Trading to pay $200k fine for misleading promotions by influencers
Cobra Trading, Inc. has agreed to pay a $200,000 fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
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FINRA Embraces Fractional Share Trading, to Overhaul Reporting Standards – Forex Factory
FINRA Embraces Fractional Share Trading, to Overhaul Reporting Standards Forex Factory
www.forexfactory.com [...]
FINRA finds rule violations in 70% of crypto asset communications
The Financial Industry Regulatory Authority (FINRA) has identified potential violations of FINRA Rule 2210 (Communications with the Publ [...]
FINRA fines Landolt Securities for deficient supervision of electronic communications
Landolt Securities, Inc has agreed to pay a fine of $25,000 as a part of a settlement with the Financial Industry Regulatory Authority ( [...]
US lawmakers press SEC and FINRA on Prometheum’s broker-dealer approval
United States lawmakers on the House Financial Services Committee have demanded answers from the heads of the Securities and Exchange Commission (SEC) [...]
Prometheum subsidiary receives FINRA approval for digital asset qualified custody
Prometheum subsidiary Prometheum Ember Capital has received approval from the Financial Industry Regulatory Authority (FINRA) as a special purpose bro [...]
FINRA Targets Crypto Communications After FTX Collapse
Retail communication includes “any written (including electronic) communication that is distributed or made available to more than 25 retail investors [...]
FTX meltdown triggers FINRA into probing crypto comms
The Financial Industry Regulatory Authority (FINRA), the American self-regulatory organization, has launched an examination into the firm’s retail com [...]