FINRA Fines Apex Clearing $3.2 Million for Violations Relating to Fully Paid Securities Lending Program
FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.
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FINRA Fines Apex Clearing $3.2M for Securities Lending Violations
This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...
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FINRA sanctions custody firm
The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...
Coinbase urges US regulators to clear path for banks to offer crypto services
Coinbase Global on Tuesday renewed its call for U.S. banking regulators to clarify or revise their position on banks offering ...