Tag: FINRA
JPMorgan Chase To Pay $250,000 for Defaming Former Employee As Regulator Orders Bank To Eliminate Series of Allegations – The Daily Hodl
The Financial Industry Regulatory Authority (FINRA) is ordering JPMorgan Chase to pay hundreds of thousands of dollars in damages to a former employee who...
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The Crypto Roundup: 28 March 2024 | CryptoCompare.com
The U.S. Securities and Exchange Commission (SEC) achieved a legal victory in its battle against Coinbase on Wednesday when a judge decided that...
US lawmakers demand SEC clarity on Ethereum’s asset classification
A group of Republican lawmakers, including the chairmen of the House Financial Services Committee and House Committee on Agriculture, has formally requested SEC Chair...
FINRA Embraces Fractional Share Trading, to Overhaul Reporting Standards
Companies regulated by the Financial Industry
Regulatory Authority(FINRA) will soon be required to report fractional shares as a whole number. These new changes, which are...
FINRA Slaps M1 Finance with $850,000 Fine for Misleading Social Media Influencer Posts
The Financial Industry Regulatory Authority (FINRA)
has fined M1 Finance $850,000 due to lapses in the fintech firm's supervision
of social media influencers. This enforcement action...
FINRA Slaps M1 Finance with $850,000 Fine for Misleading Social Media Influencer Posts
The Financial Industry Regulatory Authority (FINRA)
has fined M1 Finance $850,000 due to lapses in the fintech firm's supervision
of social media influencers. This enforcement action...
Do Not Let Bitcoin Prices Overshadow The Importance Of Improved Regulation – CryptoInfoNet
With bitcoin briefly touching all time levels in March 2024, bitcoin and crypto investors have had plenty to celebrate so far this year. Following...
FINRA Report 2024: Recordkeeping Takeaways
The Financial Industry Regulatory Authority (FINRA) recently released its annual
regulatory oversight report for 2024. This has been shared to provide firms with key insights...
Copy-Trading Platform dub Secures $17 Million Funding
The pioneering copy-trading platform in the United States, dub,
has announced securing $17 million in funding. The funding round was backed by
a consortium of venture...
Restoring Trust, Safety and Security to the Crypto Market
In the intricate realm of cryptocurrency, the concept of trust is not just important; it is the very foundation upon which the industry stands...
FINRA Levies $1.6 Million in Fine on Morgan Stanley
The Financial Industry Regulatory
Authority (FINRA) has announced a fine of $1.6 million against Morgan Stanley
Smith Barney LLC. This penalty stems from the firm's repeated...
Roughly 70% of Crypto Communications Violate FINRA Rules: Report
The United States Financial Industry Regulatory Authority (FINRA) has revealed that about 70% of retail communications concerning cryptocurrencies violate its rule of misleading...
FINRA Report Identifies Violations In Crypto Communication – CryptoInfoNet
Launched in November 2022, the exam focused on member firms actively communicating with retail customers about crypto assets, according to a press release by...
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