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News

Ex-Merrill Lynch Banker Suspended by FINRA for Crypto Business

  • Kyung Soo Kim will also have to pay a $5,000 fine for starting a mining operation without informing his employers
Thursday, 13/06/2019 | 10:14 GMT by David Kimberley
Regulation

SeedInvest’s Alternative Trading System Wins FINRA Approval

  • SeedInvest will provide secondary market ‎liquidity for ICO tokens that are offered and sold as securities.
Friday, 26/04/2019 | 16:39 GMT by Aziz Abdel-Qader
Regulation

Cantor Fitzgerald Fined $2 Million Over Short Sales Violations

  • Finra also said Cantor repeatedly ignored “red flags,” including internal audit findings from its staff.
Tuesday, 05/03/2019 | 18:46 GMT by Aziz Abdel-Qader
Regulation

FINRA Reports Explosion in Market Data Volumes in 2018

  • The regulatory body attributed the increase to spikes in volatility and growth in market electronification
Tuesday, 05/02/2019 | 14:31 GMT by David Kimberley
Regulation

FINRA Fines Morgan Stanley $5.5 Million for AML Violations

  • The bank did not comply with the AML-rules for over 5 years and ignored warnings by its own system.
Thursday, 27/12/2018 | 06:58 GMT by Arnab Shome
Brokers

Heightened Supervision Measures are Lacking Amongst Broker-Dealers

  • An examination found some of its members have no heightened supervision measures in place at all.
Wednesday, 26/09/2018 | 07:36 GMT by Celeste Skinner
Regulation

FINRA Makes Its First Fraud Charges Against ICOs, Targets HempCoin

  • Ayre repackaged HempCoin tokens and promoted it as “a security backed by RMTN common stock".
Tuesday, 11/09/2018 | 17:27 GMT by Aziz Abdel-Qader
Executive Moves

FINRA Elects Three Governors to its Board

  • Brian Kovack was re-elected to the board as its sole mid-size firm representative.
Wednesday, 29/08/2018 | 06:25 GMT by Celeste Skinner
Brokers

FINRA Fines Interactive Brokers $5.5 Million for Violating SEC Regulation

  • The broker was charged with supervisory failings regarding naked short positions for a period of at least three years.
Monday, 20/08/2018 | 16:40 GMT by Celeste Skinner
Regulation

Nasdaq and FINRA to Raise Reporting Fees for Dark Pool Trades

  • The raised prices are in response to higher operational costs and off-exchange trading volumes, a regulatory filing said.
Wednesday, 15/08/2018 | 07:18 GMT by Celeste Skinner
News

US Regulator Asks to Be Informed if Member Businesses Use Cryptocurrency

  • Relevant activities include mining and acceptance of cryptocurrency from customers.
Wednesday, 11/07/2018 | 08:30 GMT by Simon Golstein
Regulation

FINRA To Strengthen Background Checks For Broker Hires

  • From next Monday, the regulator will begin to perform public record reviews of potential financial advisors.
Friday, 06/07/2018 | 10:41 GMT by Celeste Skinner
Regulation

FINRA Approves Regulatory Registration of Redbridge Securities

  • The company looks to leverage its newly acquired regulation to expand its business operations and client base.
Tuesday, 02/01/2018 | 10:10 GMT by Finance Magnates Staff
Regulation

Citigroup Global Markets Fined $11 Million for Faulty Ratings

  • The mistakes affected investment decisions ‎that were based on CGMI’s ratings‎.
Thursday, 28/12/2017 | 18:03 GMT by Aziz Abdel-Qader
Regulation

J.P. Morgan Securities Fined $2.8 Million for Violating Customer Protection Rule

  • JPMS‎ neither admitted nor denied the charges, but consented to the entry ‎of ‎FINRA’s findings. ‎
Wednesday, 27/12/2017 | 18:40 GMT by Aziz Abdel-Qader
Regulation

FINRA Cautions Investors After Uptick of Crypto-Related Stock Scams

  • A number of 'pump and dump' scams have been preying on US investors.
Thursday, 21/12/2017 | 19:00 GMT by Jeff Patterson
News

Overstock CEO Reveals New Details of Expected $500 Million ICO

  • Overstock CEO Patrick Byrne said: "From what I am hearing, we are going to raise a fortune – $200-$500m easily."
Wednesday, 25/10/2017 | 11:00 GMT by Avi Mizrahi
Regulation

Wells Fargo Customers Get $3.4 Million in Restitution Over Sales Practices

  • Wells Fargo consented to the order without admitting or denying the findings.
Monday, 16/10/2017 | 19:46 GMT by Aziz Abdel-Qader
News

First SEC-Compliant Alternative Trading System Launched for ICO Market

  • The SEC recently made it clear that any token with an income stream is a security, and thus subject to related regulations.
Wednesday, 27/09/2017 | 11:42 GMT by Avi Mizrahi
Regulation

FINRA Fines Goldman Sachs $2.5 Million for Incomplete Reporting

  • The bank did not account for numerous conventional options positions between January 2010 and July 2016.
Wednesday, 19/07/2017 | 11:11 GMT by Finance Magnates Staff
Regulation

FINRA Takes Aim at High-Risk Brokers with New Proposals, Controls

  • The initiative will give FINRA more tools and latitude against high-risk brokers that engage in misconduct.
Friday, 12/05/2017 | 07:06 GMT by Jeff Patterson
Regulation

FINRA Slaps $3.25m Fine on Deutsche Bank Securities for ATS Violations

  • Deutsche Bank Securities has been fined for failing to provide uniform information to Alternative Trading System users.
Friday, 16/12/2016 | 16:45 GMT by Jeff Patterson
Executive Moves

FINRA’s Enforcement Chief Parts Ways with Wall Street Self Regulator

  • Before joining FINRA in 2011, Mr. Bennett had a long career as a defense lawyer.
Thursday, 15/12/2016 | 17:22 GMT by Aziz Abdel-Qader
Regulation

SEC Approves FINRA Rules for Further Price Disclosure on Retail Transactions

  • The pricing disclosure would include a dealer’s mark-up and mark-down on retail‑sized transactions.
Friday, 18/11/2016 | 17:17 GMT by Aziz Abdel-Qader
Regulation

FINRA Proposes New Bill to Fight Elder Fraud

  • The rules help brokers spot red flags to identify unusual or suspicious behavior.
Thursday, 20/10/2016 | 15:28 GMT by Aziz Abdel-Qader
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