AMC Entertainment Holdings Inc. has asked the New York Stock Exchange and FINRA to look closely at the trading of its stock, according to CEO Adam Aron. “Many of you, and we, are aware that AMC Entert...
Tag: FINRA
New FINRA Foundation Research Examines Changing Investor Demographics, Preferences and Attitudes
One in Five Investors Started Investing Recently Younger Investors More Comfortable with Risky Investments One Third of Investors Open to Cryptocurrencies WASHINGTON–(BUSINESS WIRE)–A substantial prop...
SEC facing rising scrutiny after FTX’s epic implosion
After the high-profile implosion of FTX, crypto skeptics and digital currency advocates have both asked the question: Could the Securities and Exchange Commission have done more? Expect to hear ...
FINRA to Examine Crypto Communication After FTX Crash
FINRA is ready to examine the communication of Firms related to crypto products. FTX was among the top three crypto exchanges globally. The U.S-based self-regulatory FINRA(The Financial Industry Re...
FTX Collapse Pushes FINRA To Investigate Crypto Retail Communications
Many reactions have been erupting following the collapse of the FTX crypto exchange. The crypto market is thrown into a devastating state as prices of most assets are declining. Many participants and ...
FTX meltdown triggers FINRA into probing crypto comms
The Financial Industry Regulatory Authority (FINRA), the American self-regulatory organization, has launched an examination into the firm’s retail communications concerning crypto products and service...
FINRA is investigating communications of crypto firms
An American regulatory body has begun an examination of crypto communications practices, following the collapse of the FTX exchange. The Financial Industry Regulatory Authority, which regulates ...
FINRA plans to absorb employees laid off by crypto firms
The cryptocurrency market has been in a bearish state for the better part of this month, and the outflows are squeezing out the capital available to crypto firms. Some of the largest cryptocurrency co...
FINRA may hire employees terminated from crypto firms: Report
The United States Financial Industry Regulatory Authority, or FINRA, reportedly plans to “bulk up” its capability to monitor crypto — a move that could include scooping up employees recently terminate...
FINRA Offers Job Opportunities to People Laid Off by Crypto Companies
The recent bearish trend of the crypto market has brought an unprecedented wave of unemployment in the crypto industry, causing financial regulators to step up and absorb as many of those out of work ...
FINRA CEO welcomes crypto employees who were laid off as agency increases focus on digital assets
? Want to work with us? CryptoSlate is hiring for a handful of positions! Financial Industry Regulatory Authority (FINRA) CEO Robert Cook talked about the agency’s direction towards the crypto market ...
Binance hires former FCA and FINRA regulators
Binance continues its efforts to strengthen its leadership, on the one hand by hiring former FCA and FINRA regulators Steven McWhirter and Seth Levy respectively, and on the other hand by considering ...
Binance Hires Former FCA and FINRA Regulators to Strengthen Global Compliance Efforts
World-leading crypto exchange Binance has announced the hiring of former Financial Conduct Authority (FCA) and Financial Industry Regulatory Authority (FINRA) members to its team. The two are intended...
Investment Firm Files Finra Arbitration Demand Against Morgan Stanley
An investor accused Morgan Stanley of leaking information about a large sale of shares of Palantir Technologies Inc., saddling it with millions of dollars in losses. Morgan Stanley is at the center of...
FINRA Warns Against ‘Complex’ Crypto Products, Considers Further Regulation to Protect Investors
The U.S. Financial Industry Regulatory Authority highlighted risks associated with “complex” market products in a recent statement. The U.S. brokerage firms and exchanges regulator also pointed out th...
FINRA Imposes $75,000 Penalty on Crown Capital
Financial Industry Regulatory Authority (FINRA) has recently penalized Crown Capital Securities for paying nearly $19.3 million in transaction-based compensation to unregistered entities. Crown Capita...
FINRA Fines Deutsche Bank Securities for Best Execution Violations
On Tuesday, the Financial Industry Regulatory Authority (FINRA) said that it had imposed Deutsche Bank Securities a $2 million fine for best execution Execution Execution is the process during which...
FINRA Fines Former Interactive Brokers AML Compliance Officer
The Financial Industry Regulatory Authority (FINRA) has slapped a financial penalty of $25,000 on Arnold J. Feist, a former AML Compliance Officer (AMLCO) of Interactive Brokers, for severe lapses in ...
Crypto Exchange Gemini Affiliate Gains FINRA Broker-Dealer License
Gemini Galactic Markets, an affiliate of the crypto exchange, Gemini, is now a member of the Financial Industry Regulatory Authority (FINRA) and has received approval to operate as an SEC-registered b...
Gemini Galactic approved for FINRA membership
advertisement Gemini Galactic, an affiliate of cryptocurrency exchange Gemini, received approval from the Financial Industry Regulatory Authority (FINRA) to operate a broker-dealer registered with the...
FINRA Considering Changes to Crypto Regulations to Better Protect Investors: Report
The CEO of the Financial Industry Regulatory Authority (FINRA) said the self-regulatory body will look at potential changes to crypto regulations this year as crypto adoption grows, Barron’s reported,...
FINRA Fines E*TRADE $350K for Surveillance Failures
Electronic trading platform E*TRADE, a subsidiary of Morgan Stanley, has been slapped with a $350,000 fine, along with a censure order, by the Financial Industry Regulatory Authority (FINRA) for failu...