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.
A broker-dealer settled FINRA charges for sending trade confirmations to customers that were materially inaccurate.
A broker-dealer settled FINRA charges for reporting inaccuracies and submission failures to the Order Audit Trail System.
FINRA and the MSRB issued guidance on new confirmation disclosure requirements that apply to transactions with retail customers in corporate debt, agency debt and municipal securities.