Tag : FINRA

B2B Investments Lending News

GoLogiq Sees Strong Synergies With GammaRey And Nest Egg Mergers

Fintech News Desk
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
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
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
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
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,......
Three Top Fintech Cyber Security Trends for 2021
Capital Markets Fintech Guest Posts

Three Top Fintech Cyber Security Trends for 2021

Todd Golub
The Fintech cybersecurity market is ever-evolving with new technologies and regulations influencing change. Here are three trends in the market we expect to see in 2021. Financial Services Firms and Exchanges Shift to High-Speed, Full Packet Capture and Analysis to Boost Security One of the first uses of PCAP, or......
Lukka Appoints FINRA Chairperson Eileen Murray as Key Strategic Advisor
Business Cryptocurrency Fintech News

Lukka Appoints FINRA Chairperson Eileen Murray as Key Strategic Advisor

Fintech News Desk
Murray brings knowledge, expertise, and relationships in traditional finance to help drive Lukka’s growth Lukka, the leading crypto asset software and data provider, announced today that it has appointed Eileen Murray, Chairperson of FINRA and Former Co-CEO of Bridgewater Associates LP, to its advisory board. Murray brings knowledge and expertise......
Oasis Pro Markets Gets Approval for ATS
Business Capital Markets Fintech News

Oasis Pro Markets Gets Approval for ATS

Fintech News Desk
Oasis Pro Markets (“Oasis”), a regulated broker-dealer, announced that it recently received approval from FINRA and the Securities & Exchange Commission (SEC) for its Digital Security Alternative Trading System (“ATS”). Read More: GlobalFintechSeries Interview with Kimberly Sutherland, Vice President of Fraud & Identity Strategy at LexisNexis® Risk Solutions Oasis is......
NexJ Systems Partners with AdvisorStream to Solve Critical Problem in Wealth Management
Business Fintech News

NexJ Systems Partners with AdvisorStream to Solve Critical Problem in Wealth Management

Fintech News Desk
NexJ Systems, announces it is partnering with AdvisorStream to enhance a product that enables wealth managers to better address the need to meaningfully engage with clients. Inform is the first intelligent digital assistant that allows advisors to hyper-personalize content and deliver superior, value-added, customer experiences throughout the client lifecycle. Read More: PayPal......
tZERO Appoints Former Nasdaq EVP John Jacobs to its Board of Directors
Banking Fintech Investment Services News

tZERO Approved to Launch Retail Broker-Dealer Subsidiary

Fintech News Desk
tZERO, a leader in financial innovation and liquidity for private companies, announced today that the Financial Industry Regulatory Authority (FINRA) has approved the membership application of tZERO Markets, a retail broker-dealer and wholly owned subsidiary of tZERO that is registered with the Securities and Exchange Commission (SEC). This approval allows......
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