The 2025 FINRA Annual Regulatory Oversight Report (the Report) provides FINRA member firms (firms) with insight into findings fro...
CN Editor
January 29, 2025
UPDATING TRACE REPORTING TIMEFRAMES
FINRA FINES APEX CLEARING $3.2 MILLION FOR VIOLATIONS RELATING TO FULLY PAID SECURITIES LENDING PROGRAM
SEC PUBLISHES ANNUAL STAFF REPORT ON NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATIONS
FINRA ORDERS THREE FIRMS TO PAY OVER $8.2 MILLION IN RESTITUTION TO CUSTOMERS
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