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 ...

In a stock market that has become a bit of a wild ride, a little bit of income can go a long way. Securities-lending programs, once the purview of institutional investors, can provide some extra cash ...

It's been roughly a week since TIAA Wealth Management announced a partnership adding a securities-backed line of credit to the services it offers. And according to one of its leaders, that move ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Security lending allows investors to earn extra income by lending shares, enabling short selling and adding market liquidity, but carries risks like borrower default and tax complexities. Short ...

Learn how the Main Street Lending Program supported small businesses and nonprofits during COVID-19 with up to $600 billion in loans. Discover eligibility and loan details.