Nicola M White

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0 karma0 postsjoined 6 months ago

Webull to Pay $4.2 Million Finra Fine Over Compliance Issues

🌐 bloomberg.comSource

Online retail brokerage Webull Financial LLC will pay a $4.2 million fine for allegedly failing to implement anti-money laundering controls and guard against customer identity theft as its platform rapidly grew, the Financial Industry Regulatory Authority said Thursday.

#bloomberg #business #financial #retail #brokerage #webull #photo #article

5 days ago

SEC Moves to End ‘Gag Rule’ on Firms Settling Agency Accusations

🌐 bloomberg.comSource

From Bloomberg: SEC Moves to End ‘Gag Rule’ Criticized by Musk and Cuban

#ussecuritiesandexchangecommission #policy #whitehouse #elonreevemusk #regulation #white #house #reviewing

6 months ago

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Nicola M White