Tag: FINRA
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 [...]
FINRA may hire employees terminated from crypto firms: Report
The United States Financial Industry Regulatory Authority, or FINRA, reportedly plans to “bulk up” its capability to monitor crypto — a move which cou [...]
Winklevoss-Owned Gemini Galactic Snags FINRA Broker-Dealer Approval
The approval allows Gemini Galactic to operate an alternative trading system (ATS), which will facilitate the trading of “digital asset securities,” s [...]
Robinhood Under Investigation for FINRA Registration Violation
Robinhood Financial is facing an investigation over CEO Vlad Tenev’s failure to register with the Financial Industry Regulatory Authority, one of Wall [...]
Finra Considering Changes to Crypto Regulations to Better Protect Investors: Report
The CEO of the Financial Industry Regulatory Authority (FINRA) said the self-regulatory body will look at potential changes to crypto regulations this [...]
Robinhood to pay $70 million in largest-ever FINRA penalty
Robinhood pays roughly $70 million in penalties for its systemwide outages and deceptive communication and buying and selling practices, the Moneta [...]
Uphold obtains FINRA approval to accumulate US broker-dealer
Cryptocurrency pockets and buying and selling platform Uphold has obtained regulatory approval to buy JNK Securities, a U.S. broker-dealer.In an an [...]
Texture Capital Awarded FINRA License to Commerce Safety Tokens
Texture Capital is making ready to launch a digital securities buying and selling hub for personal capital markets after getting the inexperienced [...]