A firm settled FINRA charges for failing to supervise the transmittal of customer funds by representatives with power of attorney and for failing to respond to red flags involving unsuitable trading recommendations.
News & Insights
567 News Results
FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
FINRA adopted a new rule to require that broker-dealers file their order routing reports with FINRA to facilitate public dissemination of the information.
The SEC approved FINRA rule amendments to accelerate the reporting on TRACE of transaction information in the market for certain U.S. Treasury Securities.
The MSRB set a comment deadline of February 26, 2024 on proposal to shorten the time allowed for post-trade reporting. The proposal was published in the Federal Register.