67 results about this entity
Period: 05 Jan 2009 - 08 May 2024
News
Cryptocurrency platform Circle Internet Financial is bidding to enter the Wall Street mainstream, seeking a federal banking license and SEC registration as a brokerage and trading venue.
06 June 2018
Company announcement
Instinet, LLC has been censured and fined a total of $1.575 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access Rule) and related exchange supervisory rules.
12 April 2018
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert to help consumers consider the risks of sharing personal financial account information and other sensitive information with data aggregators.
29 March 2018
The Financial Industry Regulatory Authority (FINRA) today announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or 95 percent, of its non-registered associated persons from January 2009 through May 2017.
24 November 2017
A new requirement for securities firms to report certain transactions in Treasury securities to FINRA was implemented successfully yesterday, providing regulators with a new tool to increase understanding and enhance surveillance of this bellwether market.
12 July 2017
US regulatory body Finra has established an Innovation Outreach initiative to co-ordinate its ongoing research into fintech trends, beginning with a blockchain symposium in New York.
14 June 2017
Finra (the Financial Industry Regulatory Authority) has become the latest organisation to give its two cents on distributed ledger technology, publishing a paper on blockchain's implications for the securities industry.
19 January 2017
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Deutsche Bank Securities Inc. $3.25 million for failing to provide the same information to all clients of its Alternative Trading System (ATS) relating to certain ATS services and features, and for related violations.
16 December 2016
Deutsche Bank has been slapped with a $12.5 million fine for failing to prevent the dissemination of confidential information over its 'squawk box' internal speaker system.
08 August 2016
US regulatory body Finra (Financial Industry Regulatory Authority) has waded into the growing market for robo-advisory services, warning firms of the need for sound governance and supervision of digital investment tools.
15 March 2016
The Financial Industry Regulatory Authority (FINRA) announced today that it fined Fidelity Brokerage Services LLC $500,000 and ordered the firm to pay nearly $530,000 in restitution for failing to detect or prevent the theft of more than $1 million from nine of its customers, eight of whom were senior citizens.
18 December 2015
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Deutsche Bank Securities Inc. $1.4 million for violating Regulation SHO, FINRA’s short interest reporting rule and for related supervisory failures.
20 November 2015
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