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 charges with FINRA for failing to include required information on customer confirmations for municipal securities transactions.
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.