FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This ...
CN Editor
February 05, 2025
UPDATING TRACE REPORTING TIMEFRAMES
FINRA PUBLISHES 2025 REGULATORY OVERSIGHT REPORT
FINRA ORDERS THREE FIRMS TO PAY OVER $8.2 MILLION IN RESTITUTION TO CUSTOMERS
FINRA BOARD APPOINTS PUBLIC GOVERNOR AND DISCUSSES BUDGET, RULES REGARDING OUTSIDE BUSINESS ACTIVITIES AND PRIVATE SECURITIES TRANSACTIONS, AND 2025 REGULATORY OVERSIGHT REPORT
Thank you for the feedback!!
CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK
CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
U.S. CHARGES CANADIAN FOR ALLEGED CRYPTO HACK
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON