FINRA

The regulator said the bank failed to timely report a number of fixed income transactions.

Among other things, GFI failed to prevent the entry of orders that exceeded appropriate pre-set credit thresholds.

The company and the regulator have reached a settlement agreement.

Wall Street’s watchdog found that the firm failed to avoid displaying, locking or crossing quotations in OTC Equity Securities.

Tom Selman’s last day at the regulator was January 31, 2020.

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Credit Suisse failed to address nearly 50,000 alerts from FINRA for potential manipulative trading over a 4 year period.

Stay up to date with the most interesting stories in the crypto and FX space.

Although BNP transacted over 70,000 wire transfers worth $233 billion, it relied on only one investigator to review AML ...

The fund is made up of five digital assets with the majority of shares in Bitcoin.

A massive bipartisan move against crypto is going on in the US.

The broker-dealer put two systems in place that both failed to properly report transactions to the FNTRF

A former firm representative placed 533 trades for a retired customer, causing her to pay $171,000 in commissions

The US regulator is already sitting on 40 applications from crypto firms

Kyung Soo Kim will also have to pay a $5,000 fine for starting a mining operation without informing his ...

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.

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