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Exchanges

SIFMA Reaches Settlement with US Exchanges for CAT Dispute

  • US Exchanges have agreed to remove language which limits their liability should the CAT database be breached.
Thursday, 14/05/2020 | 06:22 GMT by Celeste Skinner
Regulation

FINRA Fines Morgan Stanley $300,000 for Reporting Failures

  • The regulator said the bank failed to timely report a number of fixed income transactions.
Thursday, 26/03/2020 | 08:35 GMT by Celeste Skinner
Institutional FX

FINRA Fines GFI Securities over Market Access Lapses

  • Among other things, GFI failed to prevent the entry of orders that exceeded appropriate pre-set credit thresholds.
Thursday, 12/03/2020 | 18:48 GMT by Aziz Abdel-Qader
Regulation

FINRA Fines Wedbush Securities $30,000 for Reporting Failures

  • The company and the regulator have reached a settlement agreement.
Wednesday, 19/02/2020 | 07:48 GMT by Celeste Skinner
Regulation

FINRA Hits Virtu Americas with $250,000 Regulatory Fine

  • Wall Street’s watchdog found that the firm failed to avoid displaying, locking or crossing quotations in OTC Equity Securities.
Wednesday, 05/02/2020 | 15:47 GMT by Aziz Abdel-Qader
Executive Moves

FINRA’s Executive VP for Regulatory Policy to Retire

  • Tom Selman’s last day at the regulator was January 31, 2020.
Friday, 31/01/2020 | 12:00 GMT by Celeste Skinner
Analysis

Virtu Pays $125K FINRA Fine, ESMA to Crack Down on Crypto: Editor’s Pick

  • Stay up to date with the most interesting developments in the crypto and FX space.
Sunday, 12/01/2020 | 12:57 GMT by Celeste Skinner
Regulation

FINRA, Exchange Consortium Fines Credit Suisse Securities $6.5m

  • Credit Suisse failed to address nearly 50,000 alerts from FINRA for potential manipulative trading over a 4 year period.
Monday, 23/12/2019 | 15:54 GMT by Jeff Patterson
Analysis

Lee Elbaz Goes to Prison, Robinhood Fined: Editor’s Pick

  • Stay up to date with the most interesting stories in the crypto and FX space.
Sunday, 22/12/2019 | 12:36 GMT by Celeste Skinner
Regulation

BNP Paribas Fined $15 Million over Penny Stocks Transactions

  • Although BNP transacted over 70,000 wire transfers worth $233 billion, it relied on only one investigator to review AML alerts.
Thursday, 24/10/2019 | 18:15 GMT by Aziz Abdel-Qader
News

Grayscale Gets FINRA’s Nod to Publicly List Crypto Fund

  • The fund is made up of five digital assets with the majority of shares in Bitcoin.
Tuesday, 15/10/2019 | 08:32 GMT by Arnab Shome
News

FINRA Wants Firms to Report All Crypto-Related Activities

  • A massive bipartisan move against crypto is going on in the US.
Monday, 22/07/2019 | 07:30 GMT by Arnab Shome
Regulation

BNP Fined $100k for Options Compliance Failings

  • The broker-dealer put two systems in place that both failed to properly report transactions to the FNTRF
Friday, 12/07/2019 | 10:22 GMT by David Kimberley
Regulation

FINRA Fines Summit Brokerage $600,000 For Excessive Trading

  • A former firm representative placed 533 trades for a retired customer, causing her to pay $171,000 in commissions
Tuesday, 02/07/2019 | 20:23 GMT by Aziz Abdel-Qader
Regulation

Gemini Applying for FINRA License

  • The US regulator is already sitting on 40 applications from crypto firms
Tuesday, 02/07/2019 | 15:46 GMT by David Kimberley
News

Ex-Merrill Lynch Banker Suspended by FINRA for Crypto Business

  • Kyung Soo Kim will also have to pay a $5,000 fine for starting a mining operation without informing his employers
Thursday, 13/06/2019 | 10:14 GMT by David Kimberley
Regulation

SeedInvest’s Alternative Trading System Wins FINRA Approval

  • SeedInvest will provide secondary market ‎liquidity for ICO tokens that are offered and sold as securities.
Friday, 26/04/2019 | 16:39 GMT by Aziz Abdel-Qader
Regulation

Cantor Fitzgerald Fined $2 Million Over Short Sales Violations

  • Finra also said Cantor repeatedly ignored “red flags,” including internal audit findings from its staff.
Tuesday, 05/03/2019 | 18:46 GMT by Aziz Abdel-Qader
Regulation

FINRA Reports Explosion in Market Data Volumes in 2018

  • The regulatory body attributed the increase to spikes in volatility and growth in market electronification
Tuesday, 05/02/2019 | 14:31 GMT by David Kimberley
Regulation

FINRA Fines Morgan Stanley $5.5 Million for AML Violations

  • The bank did not comply with the AML-rules for over 5 years and ignored warnings by its own system.
Thursday, 27/12/2018 | 06:58 GMT by Arnab Shome
Brokers

Heightened Supervision Measures are Lacking Amongst Broker-Dealers

  • An examination found some of its members have no heightened supervision measures in place at all.
Wednesday, 26/09/2018 | 07:36 GMT by Celeste Skinner
Regulation

FINRA Makes Its First Fraud Charges Against ICOs, Targets HempCoin

  • Ayre repackaged HempCoin tokens and promoted it as “a security backed by RMTN common stock".
Tuesday, 11/09/2018 | 17:27 GMT by Aziz Abdel-Qader
Executive Moves

FINRA Elects Three Governors to its Board

  • Brian Kovack was re-elected to the board as its sole mid-size firm representative.
Wednesday, 29/08/2018 | 06:25 GMT by Celeste Skinner
Brokers

FINRA Fines Interactive Brokers $5.5 Million for Violating SEC Regulation

  • The broker was charged with supervisory failings regarding naked short positions for a period of at least three years.
Monday, 20/08/2018 | 16:40 GMT by Celeste Skinner
Regulation

Nasdaq and FINRA to Raise Reporting Fees for Dark Pool Trades

  • The raised prices are in response to higher operational costs and off-exchange trading volumes, a regulatory filing said.
Wednesday, 15/08/2018 | 07:18 GMT by Celeste Skinner
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