A municipal securities firm settled FINRA charges for failing to file complete and timely quarterly reports with the Municipal Securities Rulemaking Board and for failing to establish, maintain, and enforce an adequate supervisory system.
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FINRA settled charges with four firms for misrepresentations and supervision failures on their "fully paid securities lending" programs.
A broker-dealer settled FINRA charges for overstating its net capital, which caused several additional reporting and recordkeeping violations.
FINRA notified broker-dealers of the due dates on filing requests for extensions of time to satisfy margin deficiencies prior to and after the 2023 holidays (when the exchanges or banks are closed).
A broker-dealer settled FINRA charges for attempting to influence the market for securities offered by the firm’s corporate affiliates and investment banking clients.