Cboe launches 24×5 equities trading, Devexperts rolls out a futures platform, and Robinhood halts Super Bowl bets. The UK FCA seizes £6.5M from fraudsters, FINRA fines Apex $3.2M, and B2PRIME gets an ...
Apex agreed to pay $3.2 million over alleged violation of rules related to the use of customers' securities, as well as communication, supervision and standards rules, without admitting or denying the ...
A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...
Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...
FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This marks the first enforcement action under FINRA Rule 4330, which governs ...
The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...
This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...
FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.
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