SEC.gov | Two Robinhood Broker-Dealers to Pay $45 Million in …
2 days ago · The SEC’s order finds that Robinhood Securities violated Rules 200(g), 203(b)(1), and 204(a) of Reg SHO. The order further finds that both firms violated Rule 30(a) of Regulation S-P, Rule 201 of Regulation S-ID, and the broker-dealer recordkeeping and reporting provisions of the federal securities laws. Both firms admitted certain findings ...
Robinhood Agrees to $45 Million SEC Settlement Over Past …
1 day ago · Robinhood Markets, Inc. (NASDAQ:HOOD) shares are trading slightly higher in the premarket session on Tuesday. The U.S. Securities and Exchange Commission (SEC) announced that Robinhood Securities ...
Robinhood to Pay $45 Million Fine to Settle SEC Charges
2 days ago · Robinhood was hit with $45 million in fresh fines from the Securities and Exchange Commission on Monday, the latest reprimand that the crypto-favorite brokerage has received from regulators.
Robinhood to pay $45 million settlement over SEC violations
1 day ago · Online trading firm Robinhood Markets HOOD.O has agreed to pay $45 million to settle U.S. Securities and Exchange Commission charges over record keeping, trade reporting and other rule violations ...
Robinhood to pay biggest fine among more than $100mn imposed by SEC
1 day ago · Robinhood to pay biggest fine among more than $100mn imposed by SEC ... The SEC on Monday also announced that 12 investment advisers and broker dealers agreed to pay more than $63mn to settle ...
Robinhood to Pay $45 Million SEC Settlement Over Data Breach, …
Two brokerage units of Robinhood Markets HOOD-1.22%decrease; red down pointing triangle agreed to pay $45 million to settle an investigation by the Securities and Exchange Commission into a range ...
Robinhood Agrees to $45 Million SEC Settlement Over Past
1 day ago · 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.
Robinhood to pay $45 mln to settle SEC charges over …
1 day ago · Online trading firm Robinhood Markets has agreed to pay $45 million to settle U.S. Securities and Exchange Commission charges over record keeping, trade reporting and other rule violations, the ...
SEC charges Robinhood with securities violations; brokerage to …
1 day ago · According to an SEC order made public Monday, “During the [Electronic Blue Sheets] Relevant Period, in response to requests from the Commission, Robinhood Securities made at least 11,849 EBS ...
SEC Charges Robinhood Financial With Misleading Customers …
Dec 17, 2020 · The Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to seek the best reasonably available terms to execute customer orders.