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 ...
Apex Clearing Corp. will pay $3.2 million in fines to the Financial Industry Regulatory Authority for violations related to its securities lending program. This is FINRA’s first enforcement action for ...
It's been roughly a week since TIAA Wealth Management announced a partnership adding a securities-backed line of credit to the services it offers. And according to one of its leaders, that move ...
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 ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
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 ...
Several exchange-traded funds pay you to invest instead of the other way around. Securities lending is the secret to how. Before offering examples, here’s a primer on what securities lending is and ...
Ghana’s capital market is evolving alongside the rapidly changing global financial landscape. As the country works to strengthen its financial markets and drive economic growth, securities lending ...
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