FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This marks the first enforcement action under FINRA Rule 4330, which governs ...

A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...

The U.S. Financial Industry Regulatory Authority (FINRA) is sanctioning the clearing firm behind an earlier enforcement ...

The Supreme Court was hearing two pleas—one filed by Florida-based Gaekwad and the other by REL minority shareholders—seeking ...

What Happened: The latest Form 4 filing on Wednesday with the U.S. Securities and Exchange Commission uncovered Gonzalez, Board Member at Electronic Arts, exercising stock options for 185 shares of EA ...

Tectonic Therapeutic has done well to advance its Fc-fusion protein candidate TX45 into a phase 2 study targeting patients ...

Fisheries stocks surged on February 1, following key announcements by Finance Minister Nirmala Sitharaman aimed at boosting the sector. The government plans to enhance fisheries in Andaman & Nicobar ...

What Happened: A notable Form 4 filing on Wednesday with the U.S. Securities and Exchange Commission revealed that Huber, Board Member at Electronic Arts, exercised stock options for 168 shares of EA, ...