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Breaking News

FX week in review: Spotware CMO, CFI in South Africa, XTB and Dukascopy results

Saxo Bank volumes rebound in April 2024 led by record Equities and Commodities trading

Interactive Brokers launches daily options on the CAC 40 Index

Singapore MAS adds Transport minister Chee Hong Tat to its BoD

Komainu adds Paul Frost Smith as co-CEO alongside Robert Johnson

Merrill fine

FINRA office

FINRA News/ Regulatory News

FINRA fines Merrill Lynch $1.5M for rule violations related to short positions

Maria Nikolova Merrill fine, Merrill Lynch 0 Comments October 5, 2021

From February 2015 through June 2021, Merrill failed to establish a supervisory system, to address short positions in municipal securities.

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FINRA News/ Regulatory News

FINRA fines Merrill Lynch for deficient supervision of employees’ communications

Maria Nikolova Merrill fine, Merrill Lynch, MNPI 0 Comments March 31, 2021

FINRA has imposed a fine on Merrill Lynch, Pierce, Fenner & Smith for deficient supervision of employee communications.

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LATEST NEWS

FX week in review: Spotware CMO, CFI in South Africa, XTB and Dukascopy results
May 5, 2024
Saxo Bank volumes rebound in April 2024 led by record Equities and Commodities trading
May 3, 2024
Interactive Brokers launches daily options on the CAC 40 Index
May 2, 2024
Singapore MAS adds Transport minister Chee Hong Tat to its BoD
May 2, 2024
Komainu adds Paul Frost Smith as co-CEO alongside Robert Johnson
May 2, 2024

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