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

Reliant Holdings, Inc. (OTCQB: ONAR), a leading marketing technology company and network of marketing agencies, today ...

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

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 ...

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

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

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 ...

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

The regulatory outlook "at this moment is uncertain," Municipal Securities Rulemaking Board CEO Mark Kim said Thursday, ...

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory ...