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Retail FX

FINRA Penalizes BofA Securities for Inadequate Supervisory Systems

The regulator charged BofA Securities for violating security distribution regulations between 2019 and 2022.
These regulations aim to prevent manipulation by restricting certain actions that could influence pricing.

Thursday, 30/05/2024 | 13:08 GMT by Jared Kirui

Retail FX

FINRA Hits BofA Securities with $24 Million Penalty for Spoofing Breaches

BofA Securities neither admitted nor denied FINRA's charges.
The firm allegedly engaged in 717 instances of spoofing.

Thursday, 30/11/2023 | 17:33 GMT by Jared Kirui

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