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.
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A broker-dealer settled FINRA charges for omitting required disclosures on transaction confirmations related to exchange-traded notes and preferred securities.
SEC Commissioner Caroline A. Crenshaw recommended additional regulation on the fixed income and options markets.
A broker-dealer settled FINRA charges for sending trade confirmations to customers that were materially inaccurate.
A firm settled FINRA charges for failing to ensure that its sales and purchases were as fair and favorable as possible to its customers.