WASHINGTON--(BUSINESS WIRE)--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 ...
FINRA Orders Four Firms to Pay $2.6 Million for Violations Relating to Fully Paid Securities Lending
WASHINGTON--(BUSINESS WIRE)--FINRA announced today that it has sanctioned four firms—M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc.—a combined $2.6 ...
In a stock market that has become a bit of a wild ride, a little bit of income can go a long way. Securities-lending programs, once the purview of institutional investors, can provide some extra cash ...
The clearing arm of Apex Fintech Solutions has agreed to pay more than $3 million to resolve FINRA allegations that it failed to ensure customers received fees it generated by lending out their ...
Electronic Trading’s lawsuit is shining some light on the opaque world of securities lending. Meanwhile other intermediaries are springing up. The securities lending market is attracting closer ...
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