68 results about this entity
Period: 05 Jan 2009 - 29 Jan 2025
Company announcement/regulation
FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs.
29 January 2025
News/security
SoFi's self-directed retail brokerage unit has been fined $1.1 million by financial regulator Finra over ID verification failures that enabled thieves to steal $8.1 million from the accounts of customers at other financial institutions.
08 May 2024
News/regulation
The Financial Industry Regulatory Authority (Finra) has fined Robinhood $57 million and ordered the trading app to pay approximately $12.6 million in restitution, plus interest, to thousands of "harmed customers".
30 June 2021
US regulators have made inquiries to Robinhood about the trading restrictions the app put on stocks such as GameStop during the Reddit-led rallies earlier this year.
26 February 2021
Market participants have raised questions concerning the application of the federal securities laws and the rules of the Financial Industry Regulatory Authority (“FINRA”) to the potential intermediation — including custody—of digital asset securities1 and transactions.
09 July 2019
Finra announced today that it is launching an initiative to transform the digital platform that firms use to engage with Finra across several programs.
14 May 2019
FINRA today announced the formation of an Office of Financial Innovation that will serve as a central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new uses of financial technology (fintech).
30 April 2019
Company announcement
Finra today announced the formation of an Office of Financial Innovation that will serve as a central point of coordination for issues related to significant financial innovations by Finra member firms, particularly new uses of financial technology (fintech).
25 April 2019
News
Greater use of electronic trading and market volatility saw a record surge in trading data reported by the US capital markets watchdog in 2018, raising questions about regulators' ability to successfully and safely monitor markets.
05 February 2019
A group of US stock exchanges is set to fire Thesys Technologies, the startup it hired in 2017 to build a vast Consolidated Audit Trail (CAT) tracking transactions as they pass through US equity and options markets, according to the Wall Street Journal.
01 February 2019
FINRA announced today that it has fined UBS Financial Services Inc. (UBSFS) $4.5 million and UBS Securities LLC (UBSS) $500,000 for failing to establish and implement anti-money laundering (AML) programs reasonably designed to monitor certain high-risk transactions in customer accounts.
19 December 2018
FINRA today released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
10 September 2018
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