A broker-dealer settled FINRA charges for failing to detect a pre-arranged and manipulative trading pattern involving municipal securities trades between two institutional customers.
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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 broker-dealer settled FINRA charges for failing to "establish, maintain, and enforce a reasonable supervisory system . . . to review electronic communications that its registered representatives sent and received."
FINRA proposed adding conditions on a rulemaking to adopt a voluntary three-year pilot program that would allow broker-dealers to conduct annual office inspections remotely.
A broker-dealer settled FINRA charges for misrepresenting net securities positions for two of its aggregation units.