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

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

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

AtlasClear Holdings (ATCH) has announced they have signed an engagement with LocBox to utilize their stock loan inventory management platform ...

On January 2, 2025, the Securities and Exchange Commission (the SEC) published an order approving a proposed rule change filed by the ...

Proposed regulations under I.R.C. §59A and §6038A regarding the base erosion and anti-abuse tax imposed on certain large corporate taxpayers with respect to certain payments made to foreign related ...

The SEC in October 2023 finalized rules to require certain institutional investment managers to report short sale-related ...

Learn more about whether Axos Financial, Inc. or Enterprise Financial Services Corp is a better investment based on AAII's A+ Investor grades, which compare both companies' key financial metrics.

Learn more about whether Interactive Brokers Group, Inc. or Northern Trust Corporation is a better investment based on AAII's A+ Investor grades, which compare both companies' key financial metrics.

The SEC has launched a Crypto Task Force to bring clarity to digital asset regulations, tackle crypto securities, stablecoins ...

Other tools include the stock locate system, cutting-edge clearing, quick execution and competitive securities lending programs that work well for day traders, scalpers, momentum traders and more.

Oaktree Specialty Lending Corporation (NASDAQ:OCSL) Q1 2025Management ViewCEO Armen Panossian emphasized strategic actions ...