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FINRA
Robinhood Slapped With $70M Fine
The Financial Industry Regulatory Authority (FINRA) said on Wednesday it is fining Robinhood nearly $70 million to settle allegations, claiming the investing platform neglected its duty to supervise trades, maintain its technology and protect customers. "The Hash" hosts unpack FINRA's largest fine in history, and what it means for Robinhood and its users.
Crypto Trading Business Apifiny Snags FINRA Broker-Dealer License
Apifiny connects professional traders with 40-odd global exchanges to search the best execution prices.
Crypto Firm Uphold Gets US OK to Buy Broker-Dealer JNK Securities
Uphold is set to become one of the first cryptocurrency businesses in the U.S. to offer securities on an omnibus basis to retail investors, the company said.
3 US Regulators Probing Robinhood's Actions Amid GameStop Trading Craze
FINRA, the SEC and the New York Attorney General’s Office are all making enquiries into the trading app provider.
Bitwise Files for Verification to Publicly Trade Its Bitcoin Fund
The fund aims to compete with Grayscale's Bitcoin Trust and others by offering a 50 basis point lower expense ratio.
US Lawmakers Ask SEC to Clarify Broker-Dealer Rules
U.S. lawmakers asked the SEC and FINRA to clarify how crypto firms can become registered broker-dealers and provide custody services for crypto assets.
Texture Capital Awarded FINRA License to Trade Security Tokens
Texture is the latest tokenization firm to eye the $1.5 trillion private securities market.
SEC Won't Take Action Against Compliance-Focused Digital Security Exchanges
Digital security exchanges that ensure listed assets are legitimate will not face sanctions, the SEC said in an open letter.
Overstock's tZERO Wins FINRA Approval to Launch Retail Broker-Dealer Subsidiary
The firm announced Thursday that FINRA approved its application to launch tZERO Markets, a retail broker-dealer subsidiary.
