FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight ...

The U.S. Securities and Exchange Commission’s (SEC’s) Marketing Rule was approved in December 2020 and enacted on May 4, 2021 ...

From insider trading to unauthorized disclosures, compliance monitoring isn’t just about keeping the regulators happy, it’s ...

Webuy Global Ltd. (NASDAQ: WBUY) (“Webuy” or the “Company”), a leading AI-driven e-commerce and travel platform, today provided an update regarding its Nasdaq listing status and ongoing strategic ...

NEW YORK, NY / ACCESS Newswire / February 12, 2025 / Avanza Capital Holdings, a trailblazer in the alternative finance and ...

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 ...