United States — Financial Industry Regulatory Authority
Tracked across 11 events · 98 articles · First seen Apr 01, 2026 · Last active Jun 10, 2026
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Regulatory
FINRA has authorized Ohanae Securities LLC, a subsidiary of Ohanae, Inc., to expand its business activities to include the custody, clearing, settlement, and carrying of crypto asset securities. This authorization allows Ohanae Securities LLC to…
Impact: FINRA authorized the expansion of Ohanae Securities LLC's business activities, establishing a regulatory foundation for tokenized securities market infrastructure. FINRA's role is crucial in providing the necessary regulatory approval for these new services.
May 26, 2026 · 6 articles
Business
Impact: Suntex Enterprises has submitted a corporate action to United States — Financial Industry Regulatory Authority seeking approval for a shareholder dividend, which remains subject to United States — Financial Industry Regulatory Authority review.
Apr 17, 2026 · 7 articles
Tech
Robinhood Markets has launched Agentic Trading and an Agentic Credit Card, allowing users to connect AI agents to their brokerage accounts for autonomous stock trading and to virtual credit cards for purchases. The agentic trading…
Impact: United States — Financial Industry Regulatory Authority (FINRA) Rule 3110 requires human oversight over trading activity, posing a regulatory challenge for Robinhood Markets's autonomous AI trading.
May 27, 2026 · 6 articles
Business
Broadridge Financial Solutions, a global Fintech leader, announced the appointment of Todd Diganci to its Board of Directors, effective August 1, 2026. This appointment will expand Broadridge Financial Solutions' board to 10 members, with Todd…
Impact: Todd Diganci previously served as Executive Vice President, Chief Financial Officer, and Chief Administrative Officer of the United States — Financial Industry Regulatory Authority, where he gained significant regulatory and financial expertise.
Jun 09, 2026 · 6 articles
Tech
Impact: StarCompliance's Broker-Dealer Registration streamlines licensing workflows through a two-way connection with United States — Financial Industry Regulatory Authority, helping firms ensure representatives remain in good standing.
Apr 14, 2026 · 6 articles
Business
Bitget>>>, the world's largest Universal Exchange, has launched Meta Platforms — Reality Labs>>>, a licensed financial platform focused on tokenizing real-world assets (RWAs). Meta Platforms — Reality Labs>>> aims to integrate tokenized US stocks and…
Impact: United States — Financial Industry Regulatory Authority is mentioned as the regulator for the US broker-dealer that holds the real shares backing the rTokens, ensuring a level of regulatory compliance and investor protection.
May 26, 2026 · 6 articles
Regulatory
Johnson Fistel, PLLP is investigating Aether Holdings, Inc. (Nasdaq-100: ATHR) for potential violations of federal securities laws. This investigation follows a short report published by BMF Reports on July 23, 2025, titled 'Paper Empire: Nasdaq…
Impact: BMF Reports alleged involvement by a United States — Financial Industry Regulatory Authority-barred broker in the activities of Aether Holdings, Inc., raising further red flags about the company's operations.
Jun 08, 2026 · 6 articles
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