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What to Know FINRA published an external review recommending broad changes to its Enforcement program. If adopted, the recommendations would have a significant impact for broker-d...
Copper Markets US will offer qualified custody, staking, financing and OTC services after securing its regulated US presence.Digital asset infrastructure provider Copper has establ...
FINRA's annual snapshot shows how the wealth industry is changing, from key business metrics and marketing trends to shifts in registration and a shrinking branch footprint.
CFA Institute study finds 37.5 per cent fail to disclose conflicts of interest
One year after $300M deal, referrals through Robinhood that put younger investors in the pipeline and an ongoing clearing relationship with Wells Fargo reflect how TradePMR is a gr...
According to the brokerage regulator, flawed surveillance systems at RBC Capital Markets’ wealth management division failed to detect suspicious transactions that should have trigg...
Ondo Finance has secured FINRA authorizations covering tokenized NMS stocks, exchange-traded funds, mutual funds, index funds and IPO securities for U.S. investors. Ondo Finance an...
Last month the Financial Conduct Authority (FCA) published a Decision Notice that has been issued to Carlos Ricardo Fuenmayor, the CEO and sole controller of BancTrust Investment B...
On 22 July 2026, the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) published a supervisory notice outlining the key requi...
A former mutual fund dealer ignored seven staff requests before the panel handed down its penalty
Kalshi has extended its trade surveillance coverage beyond its exchange business, with affiliated futures commission merchant Kinetic Markets selecting Solidus Labs as its monitori...
Firms paid full penalties while individuals cleared just 18 percent of what panels ordered
An organization of investors' attorneys supports the regulation, arguing it could address the continued issue of unpaid arbitration awards.
Aurum Foundation has received a securities fraud warning from Finland’s Financial Supervisory Authority (FIN-FSA). FIN-FSA added Mining Race to its list of “warnings concerning una...
Even though he sold 3,750 shares, Nelson still holds nearly 24,000 shares directly.
The largest crypto liquidity provider registered with FINRA on August 6. The move signals something larger than one firm’s expansion: the infrastructure that runs crypto markets is...
The Financial Conduct Authority (FCA) recently confirmed that over 75% of its enforcement work focuses on fighting financial crime. In line with this, earlier this year the FCA iss...
One ETF offers low-cost exposure to the entire financial sector, while the other zeroes in on banks and offers a higher yield.
Prediction markets giant Kalshi has joined hands with Nasdaq to adopt the U.S. exchange heavyweight’s market surveillance tool, as it looks to bolster the monitoring and oversight...
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