Tag : FINRA

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......
Nuxeo Content Cloud Validated with Amazon S3 Object Lock for SEC Rule 17a-4(f)
Fintech News

Nuxeo Content Cloud Validated with Amazon S3 Object Lock for SEC Rule 17a-4(f)

Fintech News Desk
by Fintech News Desk0
Nuxeo Pushes Industry Forward with Content Services Platform Validated with Amazon S3 Object Lock Storage Nuxeo, a cloud-native Content Services Platform (CSP), announced that Nuxeo Content Cloud, the company’s Software-as-a-Service (SaaS) offering, has validated its compliance with the electronic records requirements of Securities Exchange Commission (SEC) Rule 17a-4(f) with Amazon Simple Storage......
Sterling Trading Tech Enhances Risk Calculations for Its Real-Time Risk & Margin Engine
Fintech News Risk Management Trading

Sterling Trading Tech Certified for CAT Production by FINRA

Fintech News Desk
by Fintech News Desk0
Sterling Trading Tech (STT), a leader in compliance, risk and infrastructure solutions for equity, options and futures trading, announced they have been certified by FINRA as an authorized CAT (Consolidated Audit Trail) Reporting Agent. Read More: smartTrade’s Solution Awarded Best Multi-Asset EMS System by Markets Media .@SterlingSTT Certified for CAT......
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