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 ...
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 ...
Company submits request for regulatory clarity following review of short-volume data, publicly reported fails-to-deliver, and shareholder-record ...
Part of my career was with a pension manager who allowed their holdings to be loaned out so they could generate extra income for the pension fund. That came to a screeching halt with the collapse of ...
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