A broker-dealer settled FINRA charges for omitting required disclosures on transaction confirmations related to exchange-traded notes and preferred securities.
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A broker-dealer settled FINRA charges for sending incomplete or incorrect trade confirmations to customers.
A broker-dealer settled FINRA charges for failing to supervise two registered representatives who overcharged commissions to clients.
A broker-dealer settled FINRA charges for sending trade confirmations to customers that were materially inaccurate.
The U.S. Senate confirmed Christy Goldsmith Romero, Kristin N. Johnson, Summer Kristine Mersinger, and Caroline D. Pham to serve as CFTC Commissioners.