#finra — Public Fediverse posts
Live and recent posts from across the Fediverse tagged #finra, aggregated by home.social.
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https://www.europesays.com/uk/966128/ Compliance Officers Worry AI Demand Is Outpacing Regulators #AI #AIAssistants #Anthropic #ArtificialIntelligence #ComplianceOfficer #ComplianceOfficers #DanGallagher #FINRA #Investments #JPMorganChase #NathanielStankard #RobinhoodMarkets #Technology #UK #UnitedKingdom #WealthManagement #WendyLanton
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https://www.europesays.com/ie/486838/ Compliance Officers Worry AI Demand Is Outpacing Regulators #AI #AIAssistants #Anthropic #ArtificialIntelligence #ArtificialIntelligence #ComplianceOfficer #ComplianceOfficers #DanGallagher #Éire #FINRA #IE #Investments #Ireland #JPMorganChase #NathanielStankard #RobinhoodMarkets #Technology #WealthManagement #WendyLanton
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https://www.europesays.com/ch/62373/ UBS to pay $1.2M for placing client in annuity, securities-backed loan #FINRA #lawsuits #litigation #RegulationAndCompliance #UBS
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EU AI Act: Three obligations reshaping comms surveillance
For anyone working in surveillance, records or risk at an EU-regulated financial services organisation, the past few months…
#Europe #EU #AIRegulation #Audittrail #communicationssurveillance #Compliance #Datagovernance #DigitalOmnibus #EUAIAct #EuropeanUnion #FinancialServices #FINRA #FinTech #insurtech #recordsmanagement #RegTech #RegulatoryTechnology #sec
https://www.europesays.com/europe/34408/ -
https://www.europesays.com/ch/58792/ UBS falls short in bid to overturn $95.3M arb award #FINRA #lawsuits #litigation #RegulationAndCompliance #UBS
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Ironlight Wins FINRA Approval for First U.S. Regulated ATS With Onchain Atomic Settlement - The firm gained approval to introduce a regulated trading system for tokenized securities... - https://www.coindesk.com/policy/2025/10/29/ironlight-wins-finra-approval-for-first-u-s-regulated-ats-with-onchain-atomic-settlement #tradingplatform #tokenization #policy #finra #news
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Mobile Phishers Target Brokerage Accounts in ‘Ramp and Dump’ Cashout Scheme https://krebsonsecurity.com/2025/08/mobile-phishers-target-brokerage-accounts-in-ramp-and-dump-cashout-scheme/ #FinancialIndustryRegulatoryAuthority #Ne'er-Do-WellNews #CSISSecurityGroup #ALittleSunshine #TheComingStorm #WebFraud2.0 #FordMerrill #pumpanddump #rampanddump #SecAlliance #@chenlun #Outsider #Schwab #FINRA #fbi
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Mobile Phishers Target Brokerage Accounts in ‘Ramp and Dump’ Cashout Scheme https://krebsonsecurity.com/2025/08/mobile-phishers-target-brokerage-accounts-in-ramp-and-dump-cashout-scheme/ #FinancialIndustryRegulatoryAuthority #Ne'er-Do-WellNews #CSISSecurityGroup #ALittleSunshine #TheComingStorm #WebFraud2.0 #FordMerrill #pumpanddump #rampanddump #SecAlliance #@chenlun #Outsider #Schwab #FINRA #fbi
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Mobile Phishers Target Brokerage Accounts in ‘Ramp and Dump’ Cashout Scheme https://krebsonsecurity.com/2025/08/mobile-phishers-target-brokerage-accounts-in-ramp-and-dump-cashout-scheme/ #FinancialIndustryRegulatoryAuthority #Ne'er-Do-WellNews #CSISSecurityGroup #ALittleSunshine #TheComingStorm #WebFraud2.0 #FordMerrill #pumpanddump #rampanddump #SecAlliance #@chenlun #Outsider #Schwab #FINRA #fbi
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Mobile Phishers Target Brokerage Accounts in ‘Ramp and Dump’ Cashout Scheme https://krebsonsecurity.com/2025/08/mobile-phishers-target-brokerage-accounts-in-ramp-and-dump-cashout-scheme/ #FinancialIndustryRegulatoryAuthority #Ne'er-Do-WellNews #CSISSecurityGroup #ALittleSunshine #TheComingStorm #WebFraud2.0 #FordMerrill #pumpanddump #rampanddump #SecAlliance #@chenlun #Outsider #Schwab #FINRA #fbi
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Mobile Phishers Target Brokerage Accounts in ‘Ramp and Dump’ Cashout Scheme
#FinancialIndustryRegulatoryAuthority #Ne'er-Do-WellNews #CSISSecurityGroup #ALittleSunshine #TheComingStorm #pump-and-dump #WebFraud2.0 #FordMerrill #rampanddump #SecAlliance #@chenlun #Outsider #Schwab #FINRA #fbi
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Mobile Phishers Target Brokerage Accounts in ‘Ramp and Dump’ Cashout Scheme
#FinancialIndustryRegulatoryAuthority #Ne'er-Do-WellNews #CSISSecurityGroup #ALittleSunshine #TheComingStorm #pump-and-dump #WebFraud2.0 #FordMerrill #rampanddump #SecAlliance #@chenlun #Outsider #Schwab #FINRA #fbi
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Mobile Phishers Target Brokerage Accounts in ‘Ramp and Dump’ Cashout Scheme
#FinancialIndustryRegulatoryAuthority #Ne'er-Do-WellNews #CSISSecurityGroup #ALittleSunshine #TheComingStorm #pump-and-dump #WebFraud2.0 #FordMerrill #rampanddump #SecAlliance #@chenlun #Outsider #Schwab #FINRA #fbi
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Mobile Phishers Target Brokerage Accounts in ‘Ramp and Dump’ Cashout Scheme
#FinancialIndustryRegulatoryAuthority #Ne'er-Do-WellNews #CSISSecurityGroup #ALittleSunshine #TheComingStorm #pump-and-dump #WebFraud2.0 #FordMerrill #rampanddump #SecAlliance #@chenlun #Outsider #Schwab #FINRA #fbi
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Mobile Phishers Target Brokerage Accounts in ‘Ramp and Dump’ Cashout Scheme
#FinancialIndustryRegulatoryAuthority #Ne'er-Do-WellNews #CSISSecurityGroup #ALittleSunshine #TheComingStorm #pump-and-dump #WebFraud2.0 #FordMerrill #rampanddump #SecAlliance #@chenlun #Outsider #Schwab #FINRA #fbi
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FINRA Panel Sounds Alarm on AI-Powered Crypto Scams Targeting Retail Investors - At the 2025 FINRA Annual Conference, regulators and industry professionals gathere... - https://cryptonews.com/news/finra-panel-sounds-alarm-on-ai-powered-crypto-scams-targeting-retail-investors/ #cryptoregulationnews #regulation #finra #fraud #news
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Hidden Road, Set to Be Acquired by Ripple, Wins U.S. Broker-Dealer License - Hidden Road, the prime brokerage firm that's being acquired by Ripple, has obtained appro... - https://www.coindesk.com/policy/2025/04/17/hidden-road-set-to-be-acquired-by-ripple-wins-u-s-broker-dealer-license #broker-dealers #policy #ripple #finra #news
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US Regulator Publishes Crypto Guide With Stark FOMO Reminder - The Financial Industry Regulatory Authority (FINRA)’s new crypto guidelines spotli... - https://news.bitcoin.com/us-regulator-publishes-crypto-guide-with-stark-fomo-reminder/ #cryptoguide #featured #finra
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FINRA metaverse warning, Lazarus NFT attack, Thiel backs NFTs: Nifty Newsletter - Lazarus Group used a fake playable NFT game to steal wallet credentials ... - https://cointelegraph.com/news/finra-metaverse-warning-lazarus-nft-attack-thiel-backs-nfts-nifty-newsletter #niftynewsletter #peterthiel #finra #web3 #nft
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SEC Flags Risks in Crypto and Emerging Tech Investment Scams - The U.S. Securities and Exchange Commission (SEC) is raising alarms about the grow... - https://news.bitcoin.com/sec-flags-risks-in-crypto-and-emerging-tech-investment-scams/ #worldinvestorweek #cryptocurrency #digitalassets #finfluencers #garygensler #socialmedia #regulation #investment #investors #crypto #finra #fraud #scams #cftc #sec #ai
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Overstock-Backed tZero Secures Broker-Dealer License From FINRA - tZero, a blockchain-focused firm backed by Overstock, said it has received approval from... - https://cryptonews.com/news/overstock-backed-tzero-secures-broker-dealer-license/ #blockchainnews #brokerage #finra #tzero #news
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tZero becomes 2nd FINRA-approved broker-dealer for digital securities - The company is following the steps of Prometheum, which now treats four ... - https://cointelegraph.com/news/sec-approves-tzero-digital-asset-broker-dealer-2025 #specialpurposebroker-dealer #tzerodigitalassetsecurities #alternativetradingsystem #digitalsecurities #digitalassets #securities #custody #trading #tzero #finra #sec
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tZero becomes 2nd FINRA-approved broker-dealer for digital securities - The company is following the steps of Prometheum, which now treats four ... - https://cointelegraph.com/news/sec-approves-tzero-digital-asset-broker-dealer-2025 #specialpurposebroker-dealer #tzerodigitalassetsecurities #alternativetradingsystem #digitalsecurities #digitalassets #securities #custody #trading #tzero #finra #sec
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tZero becomes 2nd FINRA-approved broker-dealer for digital securities - The company is following the steps of Prometheum, which now treats four ... - https://cointelegraph.com/news/sec-approves-tzero-digital-asset-broker-dealer-2025 #specialpurposebroker-dealer #tzerodigitalassetsecurities #alternativetradingsystem #digitalsecurities #digitalassets #securities #custody #trading #tzero #finra #sec
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tZero becomes 2nd FINRA-approved broker-dealer for digital securities - The company is following the steps of Prometheum, which now treats four ... - https://cointelegraph.com/news/sec-approves-tzero-digital-asset-broker-dealer-2025 #specialpurposebroker-dealer #tzerodigitalassetsecurities #alternativetradingsystem #digitalsecurities #digitalassets #securities #custody #trading #tzero #finra #sec
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US lawmakers demand SEC-FINRA records on Prometheum ETH custody - Prometheum’s willingness to play along with the SEC’s ambitions for cryp... - https://cointelegraph.com/news/congress-questions-sec-finra-prometheum-spbd #cryptoregulations #digitalassets #broker-dealer #garygensler #prometheum #congress #finra #spbd #sec #eth
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TradFi Veterans Pitch Tokenized Asset Marketplace With Eyes on U.S. Regulatory Approval - Ironlight, helmed by the former global head of trading of Schroeder and Abu Dhabi's sover... - https://www.coindesk.com/business/2024/05/02/tradfi-veterans-pitch-tokenized-asset-marketplace-with-eyes-on-us-regulatory-approval/?utm_medium=referral&utm_source=rss&utm_campaign=headlines #realworldassets #tokenizedassets #tokenization #finance #finra #news #ats #sec
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FINRA Claims Widespread Violations in Majority of Crypto Asset Communications - Following an examination launched in November 2022, FINRA claims widespread potent... - https://news.bitcoin.com/finra-claims-widespread-violations-in-majority-of-crypto-asset-communications/ #thefinancialindustryregulatoryauthority #cryptocurrency #regulation #crypto #finra
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70% of Crypto Asset-Related Communications Violate Rules: FINRA - The U.S. Financial Industry Regulatory Authority (FINRA) has reported that approximately ... - https://cryptonews.com/news/70-of-crypto-asset-related-communications-violate-rules-finra.htm #blockchainnews #unitedstates #finra
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FINRA’s 2024 Report Highlights Emergence of Crypto-Related Compliance Risks - Source: Adobe
American self-regulatory body, the Financial Industry Regulatory Aut... - https://cryptonews.com/news/finras-2024-report-highlights-emergence-of-crypto-related-compliance-risks.htm #blockchainnews #crypto #report #finra -
Why does: "White Collar Crime Risk Zones uses machine learning to predict where financial crimes will happen across the U.S. The system was trained on incidents of financial malfeasance from 1964 to the present day, collected from the Financial Industry Regulatory Authority (#FINRA), a non-governmental organization that regulates financial firms." https://thenewinquiry.com/white-collar-crime-risk-zones/
Feel like: https://xkcd.com/1138/
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Lawmakers Probe SEC and FINRA Over ‘Shady Approval’ of Prometheum - U.S. lawmakers are probing the Securities and Exchange Commission (SEC) and the Fi... - https://news.bitcoin.com/lawmakers-probe-sec-and-finra-over-shady-approval-of-prometheum/ #finraprometheum #secprometheum #regulation #prometheum #finra #sec
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Blockchain Assoc. requests info on Prometheum over ‘suspicious’ approval - A FOIA request with the SEC regarding Prometheum has been filed, ... - https://cointelegraph.com/news/blockchain-association-requests-prometheum-info-from-sec #blockchainassociation #prometheum #regulators #kaplan #finra #foia #sec
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‘Who the hell’ is Prometheum and what did it say to Congress about SEC compliance? - A testimony given at a U.S. House hearing by the blockchain firm’... - https://cointelegraph.com/news/who-is-prometheum-what-testify-congress-about-crypto-sec #aaronkaplan #prometheum #cryptolaws #congress #hearing #finra #house #sec #us
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Where is suptech heading? - Marc Gilman
Contributor
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... - http://feedproxy.google.com/~r/Techcrunch/~3/snkEiH9OX3M/ #naturallanguageprocessing #artificialintelligence #regulatorycompliance #financialregulation #financialservices #machinelearning #government #ecfintech #startups #eccolumn #finance #regtech #suptech #column #finra #asic #cfpb #fdic #bis -
Insgesamt 70 Millionen US-Dollar Strafe brummt die Wertpapieraufsicht FINRA dem Neobroker Robinhood wegen einer ganzen Reihe von Verfehlungen auf. Trading-App Robinhood: US-Behörde spricht höchste Strafe ihrer Geschichte aus -
A report card for the SEC’s new equity crowdfunding rules - Slava Rubin
Contributor
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Slava Ru... - http://feedproxy.google.com/~r/Techcrunch/~3/qPpZcQxIWSA/ #equitycrowdfunding #entrepreneurship #crowdfunding #indiegogo #startups #column #finra #tc