FINRA

SeedInvest will provide secondary market ‎liquidity for ICO tokens that are offered and sold as securities.

Finra also said Cantor repeatedly ignored “red flags,” including internal audit findings from its staff.

The regulatory body attributed the increase to spikes in volatility and growth in market electronification

The bank did not comply with the AML-rules for over 5 years and ignored warnings by its own system.

An examination found some of its members have no heightened supervision measures in place at all.

Ayre repackaged HempCoin tokens and promoted it as “a security backed by RMTN common stock".

Brian Kovack was re-elected to the board as its sole mid-size firm representative.

The broker was charged with supervisory failings regarding naked short positions for a period of at least three years.

The raised prices are in response to higher operational costs and off-exchange trading volumes, a regulatory filing said.

Relevant activities include mining and acceptance of cryptocurrency from customers.

From next Monday, the regulator will begin to perform public record reviews of potential financial advisors.

The company looks to leverage its newly acquired regulation to expand its business operations and client base.

The mistakes affected investment decisions ‎that were based on CGMI’s ratings‎.

JPMS‎ neither admitted nor denied the charges, but consented to the entry ‎of ‎FINRA’s findings. ‎

A number of 'pump and dump' scams have been preying on US investors.

Overstock CEO Patrick Byrne said: "From what I am hearing, we are going to raise a fortune – $200-$500m ...

Wells Fargo consented to the order without admitting or denying the findings.

The SEC recently made it clear that any token with an income stream is a security, and thus subject ...

The bank did not account for numerous conventional options positions between January 2010 and July 2016.

The initiative will give FINRA more tools and latitude against high-risk brokers that engage in misconduct.

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