News with the tag "finra"

Robinhood is paying $29.75 million to settle FINRA’s investigations. The investigations were based on the company’s compliance with and supervision of the regulations. FINRA’s recent report says the settlement amount includes a $26 million civil fine and 3.75 million restitution to customers. They s...

Robinhood, the online trading giant, has agreed to settle multiple investigations by the Financial Industry Regulatory Authority (FINRA) for $29.75 million, addressing issues related to supervision, compliance, and anti-money laundering (AML) deficiencies. Of the total settlement, $26 million will b...

The Financial Industry Regulatory Authority (FINRA)’s new crypto guidelines spotlight risks and FOMO-driven decisions, with advice on crypto investing. New Crypto Guidelines Highlight Key Challenges for Crypto Investors The Financial Industry Regulatory Authority (FINRA) has introduced a comprehensi...

Lazarus Group used a fake playable NFT game to steal wallet credentials through a vulnerability on Google Chrome.

The Financial Industry Regulatory Authority has released a report highlighting the potential benefits and risks of the metaverse for the securities industry. The report emphasizes the importance of addressing challenges identified to ensure the responsible and ethical development of metaverse applic...

FINRA has issued a detailed report outlining potential regulatory challenges for financial firms stepping into the metaverse. The post FINRA Warns Financial Firms of Compliance for Metaverse Ventures appeared first on TheCoinrise.com .

The Financial Industry Regulatory Authority says brokers and dealers are increasingly experimenting in the metaverse.

The U.S. Securities and Exchange Commission (SEC) is raising alarms about the growing risks of cryptocurrency scams and other investment fraud during World Investor Week 2024. Amid the rising influence of AI, social media, and aggressive financial marketing, investors are struggling to find reliable...

A group of US regulators including the Department of Justice (DOJ) is hitting a banking giant with a multi-million dollar fine to settle criminal charges that the firm defrauded the Treasury market. The DOJ says TD Bank’s registered broker-dealer, TD Securities, has accepted the terms of a deferred ...

A former investment banker and registered broker has been sentenced for masterminding a $1.5 million crypto fraud scheme. In a new press release, the US Department of Justice (DOJ) says that Rashawn Russell, who used to work for the Financial Industry Regulatory Authority (FINRA), has been sentenced...