Robinhood to Pay $70M to Settle FINRA Probe
"The fine imposed in this matter, the highest ever levied by FINRA, reflects the scope and seriousness of Robinhood’s violations."
Ex-Goldman Analyst Barred for Insider Trading
FINRA says Brian Maguire traded shares in two companies after learning that a colleague was upgrading his recommendation on the firms.
Oppenheimer Fined $3M Over ETF Sales
FINRA says the money manager sold non-traditional exchange-traded funds to investors who weren't qualified to buy them.
Prying Open the Asset-Backed Securities Market
FINRA's new data-tracking program will provide information on the timing, price, and volume of ABS trades.
SEC Approves Program for Small-Cap Companies
In the pilot program, the securities of some small-cap issuers will trade in increments of 5 cents per share.
Securities-Backed Loans Draw FINRA’s Eye
Banks’ wealth-management divisions are underwriting loans collateralized by clients' growing securities portfolios.