A broker-dealer settled FINRA charges for failing to submit certain interest rate information to the MSRB's Short-Term Obligation Rate Transparency system.
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The SEC approved FINRA's proposed rule changes, with some amendments, permitting certain conditions or restrictions to be imposed on broker-dealers that have a "significant history" of misconduct or that hired associated persons with such a history.
A broker-dealer settled SEC and FINRA charges for reporting incomplete and inaccurate securities trading information.
A broker-dealer settled charges with the SEC and FINRA for failure to supervise and file Suspicious Activity Reports concerning numerous suspicious transactions.
At a conference held in New York, senior regulators discussed developments in data reporting, clearing and settlement, and the ongoing evolution of Treasury Market structure and liquidity.