-
FINRA Publishes 2025 Annual Regulatory Oversight Report
08 Feb 2025 03:44 GMT
… supervision, and AML. FINRA emphasized that firms should … , and blockchain protocols. FINRA further highlighted that firms … AML, and manipulative trading, FINRA highlighted ransomware, new account … , and market simulations. FINRA highlighted the potential for …
-
Usmart Capital, LLC Officially Approved For U.S. FINRA License
07 Feb 2025 19:56 GMT
… officially approved for U.S. FINRA license
SINGAPORE, Feb 7, 2025 … now a member of the financial industry Regulatory Authority (FINRA) (Central Registration Number CRD: 329365 …
-
Advisor fighting Finra banishment loses $17.7 million dispute with old firm
07 Feb 2025 18:05 GMT
… is already challenging the Financial Industry Regulatory Authority Inc.’s order last … industry last year after Finra alleged in a complaint … appealed being barred by Finra to the National Adjudicatory … denied, according to the Finra arbitration award, which was …
-
JPMorgan fights FINRA arbitration for elder fraud case, countersues
05 Feb 2025 02:15 GMT
… a claim with the Financial Industry Regulatory Authority seeking arbitration in disputes … are not subject to FINRA rules on mandatory arbitration. … JPMS is required by FINRA Rule to arbitrate disputes.… JPMorgan, according to the FINRA claim. Her son, Brett …
-
FINRA Fines Apex Clearing $3.2M for Securities Lending Violations
04 Feb 2025 22:51 GMT
… Financial Industry Regulatory Authority for violations related to its securities lending program. This is FINRA … customers and borrowed customer securities,” FINRA said in a statement. “These … lending to retail customers.”
FINRA also found that since January …
-
FINRA publishes its 2025 Regulatory Oversight Report
05 Feb 2025 02:05 GMT
On January 28, FINRA published its 2025 FINRA Regulatory Oversight Report, which highlights …
-
FINRA Fines Apex Clearing $3.2 Million For Violations Relating To Fully Paid Securities Lending Program - First Enforcement Action Charging Violations Of FINRA Rule 4330
05 Feb 2025 00:34 GMT
… opportunity to participate. FINRA previously ordered four introducing … loss of voting rights.
FINRA Rule 4330 (Customer Protection … the issues identified by FINRA.
FINRA makes available disciplinary … database. In addition, FINRA publishes on its Monthly …
-
FINRA Fines Apex Clearing $3.2 Million for Violations Relating to Fully Paid Securities Lending Program
04 Feb 2025 18:09 GMT
… opportunity to participate. FINRA previously ordered four introducing … the issues identified by FINRA.
FINRA makes available disciplinary actions … Rulemaking Board.
About FINRA
FINRA is a not-for … public. In addition, FINRA provides surveillance and other …
-
ICI Urges SEC to Delay Short-Sell Reporting Rules Amid Compliance Uncertainty
07 Feb 2025 03:55 GMT
… transactions be reported to the Financial Industry Regulatory Authority (FINRA) by the end of the …
-
MarketAxess Reports Fourth Quarter and Full Year 2024 Financial Results
06 Feb 2025 11:37 GMT
… MarketAxess trading volumes and the Financial Industry Regulatory Authority (“FINRA”) Trade Reporting and Compliance … Government Bond trading volumes is FINRA’s U.S. Treasury … holiday schedule.
*Consistent with FINRA TRACE reporting standards, both sides …
About
© 1995-2025