A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to the routing of non-directed orders in national market system securities.
FINRA notified broker-dealers of the due dates on filing requests for extensions of time to satisfy margin deficiencies prior to and after the 2023 holidays (when the exchanges or banks are closed).
A broker-dealer settled FINRA charges for exercising a customer's expiring options after the FINRA-designated exercise cut-off time.
A broker-dealer settled FINRA charges for failing to monitor the fairness of mark-ups that it charged to retail customers through one of its registered representatives.
A broker-dealer settled FINRA charges for overreporting short interest positions and for related supervisory failures.