A broker-dealer settled FINRA charges for failing to adequately supervise short positions in municipal securities, resulting in a failure to cover short positions within the required timeframe of 30 days.
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A firm settled FINRA charges for placing bids that were well under market value in response to bid-wanted auctions or requests for quotes in municipal securities, thereby failing to exercise its best judgment in determining the fair market value of the securities.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
A firm settled FINRA charges for failing to supervise its representatives' recommendations regarding variable annuities, mutual funds and 529 plans.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.