Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide ...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...

The SEC in October 2023 finalized rules to require certain institutional investment managers to report short sale-related ...

Hilltop and other firms say more recent SEC off-channel communications settlements eliminated "costly and burdensome" requirements that were imposed on them.

Cboe launches 24×5 equities trading, Devexperts rolls out a futures platform, and Robinhood halts Super Bowl bets. The UK FCA seizes £6.5M from fraudsters, FINRA fines Apex $3.2M, and B2PRIME gets an ...

Apex agreed to pay $3.2 million over alleged violation of rules related to the use of customers' securities, as well as communication, supervision and standards rules, without admitting or denying the ...

Patchwork solutions cobbled together to work around technical debt lead to inefficiencies. Manual interventions become the ...

The regulatory outlook "at this moment is uncertain," Municipal Securities Rulemaking Board CEO Mark Kim said Thursday, ...

A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

For broker dealers who were dreading the full implementation of the Fixed Income Quotation rule, SEC rule 15c2-11, staff once ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This marks the first enforcement action under FINRA Rule 4330, which governs ...