FINRA settled charges with four firms for misrepresentations and supervision failures on their "fully paid securities lending" programs.
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A broker-dealer settled FINRA charges for failing to timely report certain customer complaints and for failing to report customer settlements exceeding $25,000.
A broker settled FINRA charges for distributing research notes to sales and trading personnel, and select customers, in advance of the publication of the official research report.
A broker-dealer settled charges with FINRA for engaging in 717 instances of "spoofing" in the Treasury securities secondary market.
FINRA proposed amendments to conform its rules to what will be the new shortened standard settlement cycle of the trade date plus one business day (T+1).