FINRA Notice on December 2012 Disciplinary Actions

FINRA has released the attached notice which lists: disciplinary actions against firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB). The most common reason for firms to be fined was for violations of the various trade reporting rules.

Click hereto view notice in full (links externally to FINRA website).