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A firm settled FINRA charges for failing to (i) establish a reasonable supervisory system over potentially manipulative activity and customer credit limits, (ii) document review of the firm's market access risk management controls and (iii) accurately transmit information to the Order Audit Trail System.

FINRA CAT, LLC, the FINRA Consolidated Audit Trail Plan Processor responsible for building and managing the platform, selected Amazon Web Services, Inc. as its cloud provider.