FINRA amends its rules to conform with T+1 settlement cycle
The Financial Industry Regulatory Authority (FINRA) has adopted amendments to conform its rules to the SEC’s amendments to Rule 15c6-1.
The Financial Industry Regulatory Authority (FINRA) has adopted amendments to conform its rules to the SEC’s amendments to Rule 15c6-1.
Ceros Financial Services, Inc. has agreed to pay a fine of $75,000 as part of a settlement with the Financial Industry Regulatory Authority (FINRA).
TradeStation failed to establish and implement an AML program reasonably designed to cause the reporting of suspicious trading by its customers.
The Financial Industry Regulatory Authority (FINRA) has fined Goldman Sachs & Co. LLC for alleged rule violations.
The Financial Industry Regulatory Authority (FINRA) has issued a cybersecurity alert regarding LockBit.
FINRA has suspended Tory A. Duggins, a general securities representative of Spartan Capital Securities.
The Financial Industry Regulatory Authority (FINRA) has imposed a fine of $25,000 on Landolt Securities.
From July 18, 2016, through July 23, 2021, UBS failed to include the NTBC indicator when reporting 91,059 municipal securities transactions.
LPL Financial LLC has agreed to pay a $5.5 million fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Elevation LLC has agreed to pay a fine of $75,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).