金融监管局罚款Apex清算公司320万美元违反证券贷款规则;四个经纪人罚款2600万美元. FINRA fines Apex Clearing $3.2M for violating securities lending rules; four brokers fined $2.6M.

FINRA以违反证券借贷规则为由罚款Apex Clear Corp. 320万美元,这是FINRA规则第4330条规定的第一起案件。 FINRA has fined Apex Clearing Corp. $3.2 million for violating securities lending rules, marking the first case under FINRA Rule 4330. 顶点未能确保贷款适合客户,也没有适当披露风险和益处。 Apex failed to ensure loans were appropriate for customers and did not provide proper disclosures about risks and benefits. 4名中间商经销商因监督不力也被罚款260万美元。 Four broker dealers were also fined $2.6 million for inadequate supervision. Apex同意在不承认或不否认指控的情况下解决问题。 Apex agreed to fix the issues without admitting or denying the charges.