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 settled FINRA charges for distributing research notes to sales and trading personnel, and select customers, in advance of the publication of the official research report.
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.