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FINRA imposes $825,000 fine on Merrill Lynch, Pierce, Fenner & Smith

Nadex self-certifies HBAR Cryptocurrency Event Contracts

Cboe, Metaurus collaborate to develop three new US equity indices

ICE Clear Credit adds Royal Bank of Canada as clearing member

Western Union announces resumption of service from US to Cuba

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FINRA News/ Regulatory News

M1 Finance, Open to the Public Investing, SoFi Securities, and SogoTrade fined $2.6M for securities lending violations

Gerald Segal FINRA, M1 Finance, Open to the Public Investing, securities lending, SoFi Securities, SogoTrade 0 Comments December 6, 2023

The over $1 million in restitution compensates customers whose securities were lent out over a dividend date.

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FINRA News/ Regulatory News

FINRA fines SogoTrade for lack of Securities Trader registration of two APs

Maria Nikolova SogoTrade 0 Comments September 10, 2021

Despite their direct supervision of customer trading activity, two of SogoTrade’s APs did not have registrations with FINRA as Securities Traders.

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FINRA imposes $825,000 fine on Merrill Lynch, Pierce, Fenner & Smith
May 10, 2024
Nadex self-certifies HBAR Cryptocurrency Event Contracts
May 10, 2024
Cboe, Metaurus collaborate to develop three new US equity indices
May 9, 2024
ICE Clear Credit adds Royal Bank of Canada as clearing member
May 9, 2024
Western Union announces resumption of service from US to Cuba
May 9, 2024

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