The Financial Industry Regulatory Authority (FINRA) is ordering JPMorgan Chase to pay hundreds of thousands of dollars in damages to a former employee who...
A group of Republican lawmakers, including the chairmen of the House Financial Services Committee and House Committee on Agriculture, has formally requested SEC Chair...
Companies regulated by the Financial Industry
Regulatory Authority(FINRA) will soon be required to report fractional shares as a whole number. These new changes, which are...
The Financial Industry Regulatory Authority (FINRA)
has fined M1 Finance $850,000 due to lapses in the fintech firm's supervision
of social media influencers. This enforcement action...
The current state of crypto regulation is a “Catch-22,” a series of absurd and contradictory rules and requirements that are impossible to follow.Marcelo M....
The Financial Industry Regulatory Authority (FINRA) recently released its annual
regulatory oversight report for 2024. This has been shared to provide firms with key insights...
The pioneering copy-trading platform in the United States, dub,
has announced securing $17 million in funding. The funding round was backed by
a consortium of venture...
The Financial Industry Regulatory
Authority (FINRA) has announced a fine of $1.6 million against Morgan Stanley
Smith Barney LLC. This penalty stems from the firm's repeated...
The United States Financial Industry Regulatory Authority (FINRA) has revealed that about 70% of retail communications concerning cryptocurrencies violate its rule of misleading...
Launched in November 2022, the exam focused on member firms actively communicating with retail customers about crypto assets, according to a press release by...
A US regulatory organization says that 70% of all crypto communications potentially contain violations of current regulations.
In a new press release, the Financial Industry...