finra
Digital Nomads Get Option as bunq Expands to the US with FINRA Broker-Dealer Approval
- The firm expands to the US to offer stocks, ETFs, and mutual funds.
- The company reaches 20M users, updates its app, and launches flexible EU crypto staking with Kraken.
Monday, 27/10/2025 | 06:32 GMT by
Tareq Sikder
72% of Social Media Followers and Half of US Retail Investors Open to Risky Offers: FINRA Foundation
- 65% of crypto investors and 77% of meme stock buyers show higher willingness to take risks.
- Income has minimal effect, with only a 4% gap between lower- and higher-earning investors.
Tuesday, 07/10/2025 | 16:54 GMT by
Tareq Sikder
FINRA-Registered Broker-Dealer Equilibrium Capital to Be Acquired by GSR
- This acquisition comes as U.S. regulators increase enforcement actions around tokenized securities.
- It allows GSR to expand beyond market-making into products and services subject to securities regulation.
Thursday, 02/10/2025 | 20:48 GMT by
Jared Kirui
Stocks Jump Before Crypto-Treasury Moves, Regulators Raise Red Flags
- Regulators are probing stock jumps that preceded crypto-treasury deals.
- More than 200 companies that planned to raise money to buy crypto are in the spotlight.
- The core concern: Were confidential deal plans leaked before public announcements?
Friday, 26/09/2025 | 06:40 GMT by
Louis Parks
FINRA's Proposal to Scrap $25K Day Trading Minimum: Fair Markets or Riskier Bets?
- The change would shift regulation from a fixed dollar threshold to one based on the amount of risk an investor takes on during the day.
- Critics warn that the risks of day trading remain unchanged.
Thursday, 25/09/2025 | 17:15 GMT by
Jared Kirui
FINRA Advances Proposal to Replace $25K Minimum for Day Traders with Margin Standards
- This marks one of the most significant changes in trading rules since the introduction of the pattern day trading rule in 2001.
- Other proposals passed by the FINRA Board include amendments to corporate financing rules.
Wednesday, 24/09/2025 | 17:45 GMT by
Jared Kirui
FINRA Probes Morgan Stanley Anti-Money Laundering Controls, Client Vetting Draws Scrutiny
- Wall Street regulator is examining AML procedures across the bank's wealth and trading units.
- The probe uncovered data quality issues, with employees raising concerns about incomplete information initially sent to regulators.
Wednesday, 23/07/2025 | 06:35 GMT by
Damian Chmiel
The $25K Rule That's Blocking Millions from Day Trading Is About to Change
- FINRA is considering dropping the minimum account balance to $2,000, potentially opening frequent stock trading to more retail investors.
- Robinhood, Fidelity, and Tastytrade have all written to the regulator, arguing that rules from the dot-com era are outdated.
Tuesday, 22/07/2025 | 06:57 GMT by
Damian Chmiel
FINRA Fines US Tiger $250K and TradeUP $700K for AML and Communication Retention Issues
- The firms violated FINRA rules by using a messaging platform that deleted communications early.
- From 2019 to 2023, the firms' AML programs missed suspicious transactions and lacked foreign account due diligence.
Monday, 28/04/2025 | 12:20 GMT by
Tareq Sikder
Following Ripple’s Acquisition, Hidden Road Secures FINRA Approval as Broker-Dealer
- With this approval, the firm can provide prime brokerage, clearing, and financing services to institutional clients.
- Recently, the firm launched a fixed-income platform to address institutional demand for financing solutions.
Thursday, 17/04/2025 | 17:19 GMT by
Tareq Sikder
Five Years After GameStop Chaos, Robinhood Again Sanctioned by FINRA for $29.75 Million
- The trading app must pay a $26 million fine, $3.75 million in customer restitution.
- This is the second major penalty since 2021's record $70 million fine, which highlights the trading app's continuing compliance struggles.
Monday, 10/03/2025 | 07:15 GMT by
Damian Chmiel
Interactive Brokers Settles with FINRA over “4.2 Million Free-Riding Cases”
- The broker agreed to pay a $2.25 million fine for failing to detect free-riding transactions.
- The settlement includes a censure and resolves the matter without admitting or denying FINRA's findings.
Monday, 30/12/2024 | 17:02 GMT by
Tareq Sikder
FINRA Sanctions IG Group's tastytrade for Alleged Two-Year Compliance Lapse
- The company faces a $30,000 fine for failing to properly supervise employees outside trading accounts between 2021–2023.
- The Chicago-based retail trading platform agreed to settle without admitting or denying the findings.
Thursday, 28/11/2024 | 11:03 GMT by
Damian Chmiel
FINRA Licenses Netcapital as Broker-Dealer
- The approval allows Netcapital to syndicate deals and offer more extensive fundraising options.
- The company now aims to democratize private equity investment by using its fintech platform to improve online fundraising.
Tuesday, 26/11/2024 | 15:11 GMT by
Jared Kirui
Record Keeping Error in Stock Lending Program Costs Interactive Brokers $475K
- The brokerage incorrectly calculated the number of excess shares of stocks listed on European exchanges it had available to return to its customers.
- It also allowed an unregistered associated person to lead and oversee some software development efforts concerning its securities finance business.
Wednesday, 23/10/2024 | 06:48 GMT by
Arnab Shome
Regulators’ Future Directions for AI: Potential Conflicts of Interest
- FINRA warns of AI as an emerging risk, stressing the need for thorough review of AI-generated content.
- SEC targets ‘AI-washing,’ addressing firms that exaggerate AI use to mislead investors.
Monday, 12/08/2024 | 10:58 GMT by
Harriet Christie
StoneX FX/CFDs Revenue Up by 6%, but FINRA Fine Overshadows Record Operating Numbers
- The company achieved the highest revenues in its history, $468.5 million, and higher CFD numbers.
- However, the positives are eclipsed by a decline in net profit and a fine of $75,000.
Wednesday, 07/08/2024 | 06:25 GMT by
Damian Chmiel
FINRA Boosts Enforcement Team with Two New Senior VP Appointments
- The authority has appointed Julie Glynn and Tina Gubb to oversee high-impact investigations and disciplinary actions across the enforcement department.
- Gubb has led high-profile investigations and settlements at FINRA, including a $24 million settlement with BofA Securities in 2023 for spoofing in Treasury securities.
Wednesday, 17/07/2024 | 17:04 GMT by
Jared Kirui
SEC, MSRB, and FINRA Gear Up for Municipal Market Compliance Program
- Municipal advisors and dealers can attend in person or virtually to learn about regulatory updates and compliance challenges.
- Topics include fiduciary duties, compliance pain points, and post-trade monitoring in the municipal market.
Monday, 01/07/2024 | 14:54 GMT by
Tareq Sikder
TradeZero America to Pay $250,000 in FINRA Settlement over Influencer Marketing Missteps
- The regulator identified wrongdoings related to social media influencer promotions.
- The firm has agreed to the sanctions and has revised its supervisory procedures.
Tuesday, 11/06/2024 | 07:20 GMT by
Damian Chmiel
FINRA Penalizes BofA Securities for Inadequate Supervisory Systems
- The regulator charged BofA Securities for violating security distribution regulations between 2019 and 2022.
- These regulations aim to prevent manipulation by restricting certain actions that could influence pricing.
Thursday, 30/05/2024 | 13:08 GMT by
Jared Kirui
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