Tags Financial Industry Regulatory Authority (FINRA)

Tag: Financial Industry Regulatory Authority (FINRA)

Akemona becomes member of FINRA

Digital securities company Akemona has registered with the US Securities and Exchange Commission (SEC) and is now a member of the Financial Industry Regulatory Authority (FINRA).

The SEC signs amendment to bring “much-needed transparency and accountability to...

US markets regulator Securities and Exchange Commission (SEC) has amended the national market system plan governing the consolidated audit trail, the so-called CAT NMS Plan, to make it more transparent and to boost accountability.

Theta Lake unveils 17a-4 compliant archiving tool for collaboration platforms

Theta Lake, the RegTech company, has announced the industry’s first free SEC Rule 17a-4 compliant archive designed for collaboration platforms such as RingCentral, Microsoft...

11 women changing the US RegTech industry you need to know...

The US is spearheading the RegTech revolution. So why not find out more about the women leading the charge?
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Over 90% of organizations use 6+ collab platforms, but 83% are turning off functionality due to compliance constraints

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