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An introducing broker-dealer settled FINRA charges for misclassifying its owner's personal expenses as business expenses and failing to register and supervise an unregistered individual serving as a principal of the firm.

A broker-dealer settled FINRA charges for failing to compute accurately its aggregate indebtedness and net capital, failing to file accurate reports as a result and failing to respond to FINRA requests for information.

FINRA reminded firms of the deadlines to submit broker dealer reports and Financial and Operational Combined Uniform Single ("FOCUS") information due in 2023 or the first quarter of 2024.