Tag : FINRA

Red Oak Acquires 4U Platform, Introducing Compliant Connectivity to the Financial Industry
Finance Fintech News

Red Oak Acquires 4U Platform, Introducing Compliant Connectivity to the Financial Industry

EIN Presswire
by EIN Presswire0
Acquisition enhances regulatory workflows, accelerates compliance content distribution, and positions Red Oak as the leading Compliance Connectivity Platform Red Oak, the leader in advertising compliance and marketing review software, announced today its acquisition of 4U Platform, the premier content distribution, engagement and analytics platform for the investment industry. This strategic......
Advisor360° Launches Parrot AI: A More Secure, Compliant Generative AI Assistant for Financial Advisors
Artificial Intelligence Fintech News Technology

Advisor360° Launches Parrot AI: A More Secure, Compliant Generative AI Assistant for Financial Advisors

Business Wire
by Business Wire0
Advisor360°, a leading provider of integrated technology for wealth management firms, has launched Parrot AI™, a standalone generative AI-powered meeting assistant designed to transform how financial advisors manage client interactions and daily workflows. “We’ve refined Parrot to be an AI-powered assistant that transforms advisor-client interactions into actionable insights so advisors can......
Prometheum Receives First of Its Kind Approval From FINRA to Clear and Settle Digital Asset Securities
Fintech News

Prometheum Receives First of Its Kind Approval From FINRA to Clear and Settle Digital Asset Securities

Business Wire
by Business Wire0
Prometheum’s digital asset securities custody platform is launching in Q1 2024 Prometheum Inc., today announced its plan to launch its digital asset securities custody platform in Q1 2024. Following its recent membership approval with Financial Industry Regulatory Authority (“FINRA”) to operate as a Special Purpose Broker-Dealer (“SPBD”) to custody digital......
Compliance management Featured Fintech Fintech Primers

Simplification Of Fintech Regulations: A Succinct Analysis From Experts

Pooja Choudhary
by Pooja Choudhary0
Introduction As the financial technology industry grows in importance to the economies and national security of all countries, the regulatory landscapes of those countries may change as well. Industry experience and subject expertise are essential parameters to comprehend today’s changing geopolitical and ESG landscapes. The country-specific regulatory contexts on long-term......
INX Officially Announces Segregation of Customer Funds, Ensuring Enhanced Protection for INX Customers Trading Digital Assets
Digital Asset Management News Trading

INX Officially Announces Segregation of Customer Funds, Ensuring Enhanced Protection for INX Customers Trading Digital Assets

PR Newswire
by PR Newswire0
The INX Digital Company, a FINRA registered broker-dealer offering registered security tokens and a trading platform for digital assets, officially made public its proactive self-regulatory measure to fully segregate customer funds, reinforcing its commitment to the highest standards of customer protection in the rapidly growing world of digital asset trading.......
B2B Investments Lending News

GoLogiq Sees Strong Synergies With GammaRey And Nest Egg Mergers

Fintech News Desk
by Fintech News Desk0
Combination of GoLogiq’s product offering with GammaRey and Nest Egg to create a uniquely powerful mobile fintech ecosystem for global markets: High margin offerings: eWallet, microlending, and hyper-local delivery platforms can potentially add upwards of 30% gross profit margins at scale. Leverages market-proven Tech Mahindra (TECHM.IN), Comviva eWallet and YABX......
Levitate Now Offering FINRA-Reviewed Content As Part of Content Library
Finance News

Levitate Now Offering FINRA-Reviewed Content As Part of Content Library

Fintech News Desk
by Fintech News Desk0
Levitate is proud to announce the addition of FINRA-reviewed content to its expansive content library. Getting marketing content approved can be burdensome for small businesses in the finance industry. The Financial Industry Regulatory Authority (FINRA), a not-for-profit government-authorized organization that oversees U.S. broker-dealers, has many rules and regulations around financial advertising. While......
Enigma Securities Receives FINRA Approval for Corporate Equity Securities Broker Services
News Security

Enigma Securities Receives FINRA Approval for Corporate Equity Securities Broker Services

Fintech News Desk
by Fintech News Desk0
This designation reinforces the firm’s position as a leader in equity securities in the technology sector, providing liquidity and a commitment to transparency and data security Enigma Securities (“Enigma”), a Broker-Dealer providing liquidity and advisory services, announced it has received Financial Industry Regulatory Authority (FINRA) approval to operate as a......
FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations
Digital Payments News

FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations

Fintech News Desk
by Fintech News Desk0
NSC Ordered to Pay Over $625,000 in Restitution to Customers Who Bought GPB Capital Private Placements After NSC Failed to Inform Them of Material Information FINRA announced that it has sanctioned National Securities Corporation (NSC) approximately $9 million, including disgorgement of $4.77 million in net profits the firm received for......
Advisor Group Continues Strategic Growth with Acquisition of American Portfolios Financial Services, Inc.
Finance News

Advisor Group Continues Strategic Growth with Acquisition of American Portfolios Financial Services, Inc.

Fintech News Desk
by Fintech News Desk0
Acquisition of New York-based Broker-Dealer with Approximately $40 Billion in Assets Further Positions Advisor Group as a Leader in the Independent Wealth Management Space and Broadens the Firm’s Nationwide Footprint Advisor Group, one of the nation’s largest networks of independent wealth management firms announced a definitive agreement to acquire American Portfolios Financial Services,......
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