Tag : FINRA

Three Top Fintech Cyber Security Trends for 2021
Capital Markets Fintech Guest Posts

Three Top Fintech Cyber Security Trends for 2021

Todd Golub
by Todd Golub0
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
by Fintech News Desk0
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
by Fintech News Desk0
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
by Fintech News Desk0
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
by Fintech News Desk0
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......
InvestEdge Acquired by Featheringill Capital
Fintech Investment Services News

Sanctuary Wealth Chooses InvestEdge as Compliance and Surveillance Partner

Fintech News Desk
by Fintech News Desk0
Application tied to client’s IPS helps advisors more easily comply with SEC & FINRA regs Sanctuary Wealth, home to the next generation of elite financial advisors, has added the InvestEdge Compliance and Surveillance application to its open architecture platform. Thirty-eight partner firms in 16 states with over $10 billion in assets under advisement comprise......
Creation of the European PayTech Leader a Powerful Strategic Combination Between Nexi and Nets
Blockchain Fintech Fintech Funding Investment Services News

Akemona Receives Regulatory Approval as the First Smart Contract-Based Funding Portal on Blockchain

Fintech News Desk
by Fintech News Desk0
Akemona, a pioneer in digital securities, announced that it has registered with the US Securities and Exchange Commission (SEC) and is now a member of the Financial Industry Regulatory Authority (FINRA) under section 3(h) of the Securities Exchange Act of 1934 and the corresponding SEC rules, popularly known as Regulation......
BitOoda Expands into Proof of Stake with Hire of Recognized PoS Expert
Fintech News

BitOoda Expands into Digital Securities Offerings

Fintech News Desk
by Fintech News Desk0
BitOoda is expanding its suite of digital asset financial services through the launch of a digital private placement and SAFT brokerage division, following approval of the company’s application to advise and act as a placement agent on private primary offerings of digital securities and broker secondary-market transactions for SAFTs (Simple......
Smarsh Echo Cancellation Introduces Unmatched Efficiency in Supervisory Review
Fintech News

Smarsh Echo Cancellation Introduces Unmatched Efficiency in Supervisory Review

Fintech News Desk
by Fintech News Desk0
Enterprise Supervision Capability Leverages Artificial Intelligence to Reduce Email Review Workload by 20% Smarsh, enabling organizations to manage the risk and uncover the value within their electronic communications, introduced Echo Cancellation capabilities within its Enterprise Supervision application. In its pilot program with a global asset management customer, Echo Cancellation resulted in a 20%......
Launch of Follow-On Preferred Equity Offering for World’s First Tax-Exempt Global Digital Bank
Fintech Investment Services Mobile Banking News

Launch of Follow-On Preferred Equity Offering for World’s First Tax-Exempt Global Digital Bank

Fintech News Desk
by Fintech News Desk0
US Capital Global Securities LLC, an affiliate of US Capital Global, is offering to eligible investors an investment opportunity of up to $5 million in EQITrade Limited (“EQITrade”). Following on from US Capital Global Securities’ convertible note offering for EQITrade earlier this year, EQITrade is now seeking $5 million in Series......
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