United States — Financial Industry Regulatory Authority
Tracked across 36 events · 311 articles · First seen Apr 01, 2026 · Last active Aug 24, 2026
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Regulatory
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
Regulatory
Wintermute, a major cryptocurrency market maker, registered its U.S. subsidiary Wintermute as a broker-dealer with the United States — United States Securities and Exchange Commission and the United States — Financial Industry Regulatory Authority in…
Impact: FINRA approved Wintermute as a member, subjecting it to compliance and supervisory requirements and enabling its regulated securities operations.
Aug 07, 2026 · 7 articles
Regulatory
American Fusion Inc. (OTC: AMFN), a developer of fusion energy technology, announced on August 18, 2026 that the United States — Financial Industry Regulatory Authority (FINRA) has cleared the Form 211 filed on its behalf…
Impact: FINRA cleared the Form 211, allowing Alpine to initiate quotations in American Fusion's stock. This is a routine regulatory action for FINRA.
Aug 18, 2026 · 6 articles
Accidents
Impact: FINRA has been in touch with member firms and launched the Financial Intelligence Fusion Center to share threat intelligence, enhancing industry resilience.
Aug 05, 2026 · 13 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
Business
Impact: United States — Financial Industry Regulatory Authority announced the ticker symbol change for Fortun Holdings, making the corporate action effective.
Jun 17, 2026 · 9 articles
Business
Impact: FINRA reviewed and approved the name change on an expedited timeline, facilitating the corporate action.
Jul 07, 2026 · 8 articles
Regulatory
Impact: FINRA is cited as a model for the proposed AI standards body, but is not directly involved in the event.
Jul 14, 2026 · 6 articles
Domestic
Impact: Proposed commission to enforce compliance across the housing sector; if established, could improve standards.
Jul 28, 2026 · 6 articles
Business
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: 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
Regulatory
Impact: FINRA participated in the enforcement action, and its findings on monitoring failures were part of the case.
Aug 03, 2026 · 9 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
Regulatory
Impact: A United States — Financial Industry Regulatory Authority-barred broker was allegedly involved with Aether Holdings, raising concerns about the company's practices.
Jun 10, 2026 · 21 articles
Business
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
Business
Impact: United States — Financial Industry Regulatory Authority's requirements, along with those of OTC Markets Group, dictated the temporary trading symbol change for Curaleaf's shares.
Jul 06, 2026 · 6 articles
Business
Impact: FINRA approved Webull Securities (US) LLC as a clearing broker in April 2026, enabling the launch of Webull Institutional.
Jul 07, 2026 · 7 articles
Business
Impact: United States — Financial Industry Regulatory Authority is mentioned as the regulatory body for broker-dealers involved in the collaboration, ensuring a regulated environment for the tokenized security.
Apr 20, 2026 · 13 articles
Business
Impact: United States — Financial Industry Regulatory Authority will process the proposed name change and ticker symbol change once documentation is finalized, a standard regulatory step.
Jul 09, 2026 · 7 articles
Business
Impact: United States — Financial Industry Regulatory Authority is involved in the administrative processing of the reverse stock split, which temporarily affects the trading symbol.
Jul 31, 2026 · 6 articles
Business
Nasdaq-100 announced a definitive agreement to acquire all equity interests of LeveL Markets, LLC, one of the largest U.S. Alternative Trading Systems (ATS). The transaction, whose financial terms were not disclosed, is part of Nasdaq's…
Impact: FINRA will continue to oversee LeveL Markets as a registered ATS post-acquisition.
Aug 11, 2026 · 7 articles
Tech
Anthropic CEO Dario Amodei posted on X that the AI industry can rebuild public trust by delivering tangible scientific breakthroughs, such as curing cancer, rather than through marketing. He acknowledged that AI companies, including Anthropic,…
Impact: Amodei voiced support for a FINRA-like regulatory body, which could influence AI regulation, but FINRA itself is not directly affected.
Aug 16, 2026 · 6 articles
Business
Gemini Space Station, Inc. and Apex Fintech Solutions signed a letter of intent to distribute crypto prediction markets through Apex's brokerage network. Under the proposed partnership, Gemini Titan would become the exclusive regulated venue for…
Impact: FINRA regulates Gemini's broker-dealer activities, relevant to its stock trading expansion.
Aug 24, 2026 · 11 articles
Regulatory
Johnson Fistel, a shareholder rights law firm, is investigating Aether Holdings (NASDAQ: ATHR) for potential violations of federal securities laws. The investigation follows a July 2025 short report by BMF Reports alleging that Aether was…
Impact: FINRA is mentioned in the short report regarding a barred broker allegedly involved with Aether Holdings.
Jun 08, 2026 · 20 articles
Business
Impact: FINRA is mentioned as a member organization; not directly affected.
Jul 06, 2026 · 6 articles
Domestic
Impact: Robert Dial's dismissed charges remain on his FINRA disclosures.
Jul 14, 2026 · 7 articles
Business
Impact: FINRA is a regulator for GTN, relevant to the partnership's regulatory compliance.
Jul 22, 2026 · 6 articles
Tech
Impact: FINRA is the regulatory body that must approve the company's name change and new trading symbol. The process is ongoing.
Jul 28, 2026 · 6 articles
Regulatory
Impact: FINRA is mentioned as the regulator of Netcapital's funding portal and broker-dealer, but it is not directly involved in the MVLS rule or its stay. Its role is peripheral to this event.
Jul 31, 2026 · 6 articles
Business
Impact: FINRA is mentioned as a regulator of BrokerTec Americas LLC; not directly impacted.
Jul 09, 2026 · 6 articles
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United States — United States Securities and Exchange Commission
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United States — Financial Industry Regulatory Authority
United States — United States Securities and Exchange Commission
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United States — Financial Industry Regulatory Authority
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