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A broker-dealer settled FINRA charges for conducting a securities business while failing to maintain the required minimum net capital and failing to file timely notices of net capital deficiency with the SEC and FINRA.

FINRA proposed several amendments to remove overlapping requirements concerning (i) clock synchronization for recording market events; (ii) quote and order access; (iii) reporting requirements on certain information for orders in OTC equity securities and (iv) recording of quotation information on an inter-dealer quotation system.