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 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.
In its Annual Report, the SEC Investor Advocate identified several areas of concern for investors, including: (i) reverse factoring; (ii) dual-class share structures and (iii) LIBOR transition issues.