FINRA's 2018 volume tops 2017 activity by 87%
September 08, 2017 BY Valentina Kirilova

FINRA CEO Robert Cook testifies about FINRA’s operations and regulatory programs

Robert W. Cook, President and CEO of the Financial Industry Regulatory Authority (FINRA) today testified before the U.S. House of Representatives Subcommittee on Capital Markets, Securities, and Investment about FINRA’s operations and regulatory programs, and how FINRA is fulfilling its mission to protect investors and ensure market integrity while facilitating vibrant capital markets. Below is…

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BCSC warning
September 08, 2017 BY Valentina Kirilova

Canadian regulator BCSC warns against bitcoin Binary Options broker 332option.com

Canadian securities regulator the British Columbia Securities Commission (BCSC) has added to its Investment Caution List bitcoin Binary Options broker 332option and B.I.S. Blueport Investment Services Ltd. (BIS). 332option claims to be licensed by the Cyprus Securities and Exchange Commission under the name BIS, and offers an online binary options trading platform. A binary option…

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EZTrader SEC filing
September 08, 2017 BY LeapRate Staff

Exclusive: Binary options broker EZTrader parent EZTD de-registers with the SEC, shares to be delisted

LeapRate Exclusive... LeapRate has learned that binary options brokerage group EZTD Inc (OTCMKTS:EZTD) has filed paperwork with the US Securities and Exchange Commission (SEC) indicating that it is terminating its registration with the SEC, effective immediately. Once formally not an SEC registrant, EZTD will no longer be eligible to have its shares listed on the over-the-counter…

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insider trading
September 07, 2017 BY LeapRate Staff

Amazon employee and college frat brother charged with Insider Trading ahead of AMZN results

The U.S. Securities and Exchange Commission today announced insider trading charges against a former Amazon.com, Inc. (NASDAQ:AMZN) financial analyst who allegedly leaked confidential information to his former fraternity brother in advance of a company earnings announcement so they could turn an illegal profit. The college friend and his trading partner also are charged in the…

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State Street Corp offices
September 07, 2017 BY LeapRate Staff

State Street pays $35 million to settle charges of secret markups on its trading platform

The U.S. Securities and Exchange Commission today announced that State Street Corp (NYSE:STT) has agreed to pay more than $35 million to settle charges that it fraudulently charged secret markups for transition management services and separately omitted material information about the operation of its platform for trading U.S. Treasury securities. An SEC order finds that…

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