A broker-dealer settled charges with FINRA it sent confirmations to institutions' customers that "inaccurately reflected the capacity in which the firm acted."
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A broker dealer settled FINRA charges for failing to disclose to retail customers markup and markdown information on transactions in debt securities, including municipal securities and corporate and agency debt.
A broker-dealer settled charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.
The CFTC set a comment deadline of October 24, 2023 for proposed amendments to rules governing confirmation of transactions on swap execution facilities.
The CFTC proposed amendments to rules governing confirmation of transactions on swap execution facilities.