FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

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. This marks the first enforcement action under FINRA Rule 4330, which governs ...

Thrivent Financial for Lutherans and an affiliated investment adviser are asking a federal appeals court to review the SEC’s ...

A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

The brokerage industry self-regulator suggests firms review their third-party risk assessments and ensure proper controls ...

FINRA published its 2025 FINRA Regulatory Oversight Report, which highlights areas identifying compliance gaps and observing ...

FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) addressing alleged violations committed by the respondent, ...

The Financial Industry Regulatory Authority’s latest report offered advisers best practices for strengthening their ...