FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

An attorney representing Frank Black in his case against FINRA believes the issue of whether the self-regulatory organization ...

FINRA announced while amendments to the TRACE reporting rules were approved in September 2024, an effective date for these ...

A broker who is already challenging the Financial Industry Regulatory Authority Inc.’s order last year to bar him from the ...

FINRA accepted a Letter of Acceptance, Waiver and Consent (AWC) from a financial services member firm to address allegations ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

The tide is beginning to shift toward the wirehouse in its contentions that deferred pay is not protected by federal ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

Alpine Securities Corp. on Friday failed to pause a D.C. Circuit ruling maintaining a financial regulator’s power to hold ...

"Our goal at 51 Labs is to continuously innovate and provide our customers with products that enhance their performance, recovery, and overall health," stated Robert Clark, CEO of Fifty 1 Labs, Inc.

Uranium American Resources makes a strategic pivot from its gold-silver focus under its old Tonogold Resources shingle via a ...