Articles Posted in FINRA

Pretty much from the introduction of Satoshi’s cleverly constructed currency, industry players and observers alike have waited to see how exactly the increasing population of digital assets would be categorized and regulated. Slotting “disruptive” technologies into existing regulatory regimes is hardly a swift process, but there has been some recent…

The Financial Industry Regulatory Authority (FINRA) has levied a $7.5 million fine against LPL Financial LLC (LPL) for a series of email system failures which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails. On top of that. FINRA ordered LPL to establish…