A broker-dealer settled FINRA charges for overstating its daily trading volume in advertisements provided by a third-party market data provider.
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A broker-dealer settled FINRA charges for overstating the firm's daily trading volume by nearly 148,000,000 shares on Bloomberg and Thomson Reuters, subscriber-based market data platforms.
A firm operating as a "market center" settled FINRA charges for under-reporting "covered orders" in contravention of SEC disclosure requirements on order execution.
A broker-dealer settled FINRA charges for failing to accurately report non-broker-dealer customers' transactions to the Trade Reporting and Compliance Engine.
The SEC extended the deadline to consider whether to approve or disapprove a FINRA proposal to establish new order routing disclosure report publication requirements for over-the-counter and National Market System equity securities orders.