This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of customers’ fully paid or excess margin securities.

In this dynamic landscape, Introducing Brokers (IBs) is crucial for bridging the gap between brokerage firms and clients, expanding networks, and increasing market reach. At Kama Capital ...

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

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

It offers custody and service accounts for hedge and mutual funds, exchange-traded funds, registered investment advisors, proprietary trading groups, introducing brokers, and individual investors.

IBs serve as trusted intermediaries, connecting clients with brokerage services, offering guidance, and ensuring seamless trading experiences. By cultivating strong client relationships, IBs ...