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.
FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.
A broker-dealer settled charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.
A broker-dealer settled FINRA charges for omitting required disclosures on transaction confirmations related to exchange-traded notes and preferred securities.