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

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

Apex Clearing Corporation, a wholly-owned subsidiary of Apex Fintech Solutions Inc., is an SEC registered broker dealer, a member of FINRA and SIPC, and is licensed in 53 states and territories.

WealthRabbit emerges as a game changer in the fintech landscape with the launch of the first fully digital solution dedicated to managing SIMPLE IRA plans more efficiently. By combining WealthRabbit's ...