Moomoo Financial Inc.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/26/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072581701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Moomoo Financial Inc., formerly known as Futu Inc. (Respondent) Member Firm CRD No. 283078 Pursuant to FINRA Rule 9216, Respondent Moomoo Financial Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021072581701finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/10/2025: Since June 2019, Moomoo has failed to have a reasonable supervisory system, including written supervisory procedures (WSPs), concerning Large Options Positions Report (LOPR) reporting. Until March 2023, Moomoo failed to have any system to identify and report reportable options positions of firm customers held in omnibus accounts and, through the present, its supervision of LOPR reporting remains unreasonable. Further, Moomoo failed to report more than 4,000 listed options in more than 20,000 instances. Therefore, Moomoo violated FINRA Rules 2360(b)(5), 3110, and 2010 and is censured, fined $125,000, and has agreed to an undertaking.
Reference 2023078120201data-portal.finra.orgfinra.org
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