Financial Industry Regulatory Authority
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FINRA Orders Robinhood Financial to Pay $3.75 Million in Restitution to Customers; Fines Robinhood Financial and Robinhood Securities for Anti-Money Laundering, Supervisory and Disclosure Violations
on 03/07/2025 at 12:00 PM
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct. […]
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Report From FINRA Board of Governors Meeting – February 2025
on 03/05/2025 at 12:00 PM
WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reporting timeframes, ongoing technology initiatives, and the proposed allocation of […]
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FINRA Fines Apex Clearing $3.2 Million for Violations Relating to Fully Paid Securities Lending Program
on 02/04/2025 at 12:00 PM
WASHINGTON—FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm with violating FINRA Rule 4330, which establishes permissible use of customers’ securities to ensure […]
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FINRA Publishes 2025 Regulatory Oversight Report
on 01/28/2025 at 12:00 PM
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen […]
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
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SEC Votes to End Defense of Climate Disclosure...
on 03/27/2025 at 8:05 PM
The Securities and Exchange Commission today voted to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. SEC Acting Chairman Mark T. Uyeda said, “The goal of today’s Commission action and […]
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SEC Crypto Task Force to Host Four More...
on 03/25/2025 at 7:33 PM
The SEC's Crypto Task Force will hold four more roundtables in its ongoing series discussing crypto asset regulation. […]
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SEC Announces Agenda, Panelists for Roundtable on...
on 03/20/2025 at 3:26 PM
The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry. “I look forward to hearing from the panelists on how emerging technologies, […]
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SEC Charges New Jersey Investment Adviser and His...
on 03/17/2025 at 6:47 PM
The Securities and Exchange Commission today announced that it has filed charges against David Yow Shang Chiueh of East Hanover, New Jersey and his investment advisory firm, Upright Financial Corp., for misconduct and for investing more than 25 […]