A broker-dealer settled charges with the SEC and FINRA for failure to supervise and file Suspicious Activity Reports concerning numerous suspicious transactions.
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FINRA and the MSRB updated FAQs regarding confirmations for fixed-income transactions.
A registered broker-dealer agreed to pay a total of $2.8 million in order to settle FINRA and SEC charges related to alleged violations of the Customer Protection and Net Capital Rules.
The SEC and FINRA opened registration for the "2016 Regional Compliance Outreach Program for Broker-Dealers."
FINRA issued two regulatory notices regarding its Funding Portal Rules; the notices provide background as to why the rules were adopted and guidance as to how to comply.