A broker-dealer settled charges with FINRA it sent confirmations to institutions' customers that "inaccurately reflected the capacity in which the firm acted."
News & Insights
240 News Results
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.
The SEC adopted the 2024 annual budget of the Public Company Accounting Oversight Board along with the related annual accounting support fee.
The MSRB amended the annual rate card fees for broker-dealers and municipal advisors in 2024.
A broker-dealer settled charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.