SEC.gov | Two Robinhood Broker-Dealers to Pay $45 Million in …
3 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 to Pay $45 Million Fine to Settle SEC Charges
3 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 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 ...
SEC Fines Robinhood $45 Million in Settlement of Securities Law …
2 days ago · Robinhood has agreed to a $45 million settlement with the U.S. Securities and Exchange Commission (SEC) following allegations of violating multiple securities laws.
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 $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 to Pay $45 Million to Settle SEC Claims - Bloomberg …
2 days ago · Robinhood Securities LLC and Robinhood Financial LLC agreed to pay $45 million in civil penalties to settle a range of US Securities and Exchange Commission allegations, the regulator said Monday. “Today’s order finds that two Robinhood firms failed to observe a broad array of significant regulatory requirements, including failing to accurately report trading activity, comply with short ...
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.
SEC.gov | In the Matter of Robinhood Financial, LLC Admin. Proc.
In the Order, the Commission found that, from 2015 to September 2018, Robinhood violated the federal securities laws by making misstatements regarding: its sources of revenue obtained from certain principal trading firms; the execution quality for its customers’ orders; and its failure to satisfy its duty of best execution.
Robinhood to pay $45M in civil penalties to settle SEC charges
1 day ago · Robinhood Securities and Robinhood Financial have agreed to pay a combined $45 million penalty to the SEC after an investigation found they violated several securities law provisions.
- Some results have been removed