WASHINGTON--(BUSINESS WIRE)--FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm ...

Apex Clearing Corp. will pay $3.2 million in fines to the Financial Industry Regulatory Authority for violations related to its securities lending program. This is FINRA’s first enforcement action for ...

The clearing arm of Apex Fintech Solutions has agreed to pay more than $3 million to resolve FINRA allegations that it failed to ensure customers received fees it generated by lending out their ...

You have probably seen the popup in your brokerage account at least once in the past year. Fidelity or Schwab is telling you that free money is sitting on the table, just waiting for you to claim it.

Company submits request for regulatory clarity following review of short-volume data, publicly reported fails-to-deliver, and shareholder-record discrepancies; Nick Morgan and Mark Hiraide of ICAN are ...

The rise in demand for short selling from hedge funds coupled with the growth of passive investing among individual investors further drives fintech driven collateral management innovation which ...