SEC.gov | Two Robinhood Broker-Dealers to Pay $45 Million in …

4 days ago · Additionally, both firms agreed to conduct an internal audit concerning off-channel communications compliance, and Robinhood Securities agreed to certify its remediation of the deficiencies that caused the Reg SHO violations. Robinhood Securities agreed to pay a $33.5 …

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SEC Charges Robinhood With Securities Violations, Brokerage To …

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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 …

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The U.S. Securities and Exchange Commission said Monday that two broker-dealers owned by Robinhood Markets (NASDAQ:HOOD) have agreed to a $45M settlement to resolve charges …

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2 days ago · Washington D.C.-- The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, …

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3 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 …

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3 days ago · Washington, D.C.--(Newsfile Corp. - January 13, 2025) - The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and …

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3 days ago · The U.S. Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) …

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3 days ago · NEW YORK (Reuters) - Online trading firm Robinhood Markets has agreed to pay $45 million to settle U.S. Securities and Exchange Commission charges over record keeping, …

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3 days ago · The Securities and Exchange Commission (SEC) announced that Robinhood Securities LLC and Robinhood Financial LLC, two broker-dealers under the Robinhood brand, …

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Robinhood To Pay $45 Million To Settle SEC Charges ... | DeepNewz

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4 days ago · Two Robinhood broker-dealers, Robinhood Securities and Robinhood Financial, have agreed to pay $45 million in combined civil penalties to settle charges brought by the …

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Robinhood To Pay $45 Million To Settle SEC Claims - Yahoo Finance

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3 days ago · (Bloomberg) -- Two units of Robinhood Markets Inc. agreed to pay $45 million in civil penalties to settle a range of US Securities and Exchange Commission allegations, the …

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FAQs about SEC.gov | Two Robinhood Broker-Dealers to Pay $45 Million in … Coupon?

Will Robinhood Markets pay $45 million to settle Securities & Exchange Commission charges?

NEW YORK (Reuters) - 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 regulator said on Monday. ...

Is Robinhood considered a broker?

Robinhood is a no-commission broker. They are compensated through regulatory and service fees. Robinhood is affiliated with the Securities Investor Protection Corporation (SIPC), Financial Industry Regulatory Authority (FINRA), and the Securities and Exchange Commission (SEC). We are an affiliate partner of Robinhood and may receive compensation from their links. ...

Why did Robinhood pay $45 million?

(Reporting by Jonathan Stempel and Chris Prentice; Editing by Chris Reese) 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 regulator said on Monday. ...

Did Robinhood pay $45 million in civil penalties?

(Updates with details throughout.) 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. ...

Is Robinhood regulated by the SEC?

Robinhood is a member of the U.S Securities and Exchange Commission (SEC) and is regulated by the Securities Investor Protection Corporation (SIPC). It is also monitored by the Financial Industry Regulatory Authority (FINRA), ensuring that traders are dealing with a broker involved with leading regulatory bodies in the US. ...

What were Robinhood securities & Robinhood Financial LLC's missteps?

Robinhood Securities LLC and Robinhood Financial LLC’s missteps include failing to report suspicious activity on time and not preserving electronic communications records, among other securities law violations, the SEC said in a cease-and-desist order. ...