JP Morgan fined $1.1 million for failing to disclose misconduct allegations to FINRA
FINRA has said JP Morgan filed allegations of misconduct of its employees up to two years later than required 89 times.
Tag: FINRA
Interactive Brokers fined $5.5 million for violating short selling rules
FINRA has fined Interactive Brokers for failing to comply with short selling rules between 2012 and 2015.
Nasdaq ups reporting fees for dark pool trades with FINRA
Nasdaq and FINRA will increase reporting fees as costs of operating its trade reporting facility have risen 16% since 2012.
Crypto startup to acquire US broker-dealer
Crypto platform Uphold will buy broker-dealer JNK Securities and will apply to operate an alternative trading system (ATS) in the US.
Instinet fined for algo trading and market access breaches
Financial authorities in Asia and the US fined agency broker Instinet for several violations related to market access and trading systems.
JP Morgan fined $1.25 million for failing to screen employees
Over 8,000 employees at JP Morgan were not screened or fingerprinted as required by federal securities law in the US.
JP Morgan, Citi and Deutsche fined $4.75m for access violations
FINRA, Nasdaq, Bats and NYSE pursued action against firms for violating market access rules in the US.
Ex-FINRA chief joins MarketAxess board
Richard Ketchum served as chief executive officer and chairman at FINRA from 2009 until last year.
Ineffective governance of blockchain could see increased vulnerability
FINRA has published report on the implications of blockchain and claims mismanagement could have severe consequences.
FINRA seeks further authority to stamp out spoofing and layering
FINRA looks to SEC for more authority to stop spoofing and layering quickly.