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Robinhood, SEC

USA Today · 3d

Robinhood to pay $45 million to settle SEC charges over recordkeeping, other violations

Online trading firm Robinhood has agreed to pay $45 million to settle SEC charges over record keeping, trade reporting and other rule violations.

Hosted on MSN · 4d

SEC charges Robinhood with securities violations, brokerage to pay $45 million penalty

The Securities and Exchange Commission on Monday said two related Robinhood broker-dealers agreed to pay $45 million in combined penalties to settle administrative charges that they violated more than 10 separate securities law provisions related to their brokerage operations.

Benzinga.com · 3d

Robinhood Agrees to $45 Million SEC Settlement Over Past Violations

Robinhood shares are slightly up after the SEC imposed a $45 million fine for regulatory violations, including issues with trading activity reporting, cybersecurity, and recordkeeping.

14h

SEC enforcement blitz targets 7 financial firms as Biden administration winds down

The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.

16hon MSN

LPL Financial settles SEC anti-money laundering charges for $18 million

The Securities and Exchange Commission (SEC) has announced charges against broker-dealer and investment adviser LPL Financial ...

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