A broker-dealer settled FINRA charges for failing to supervise two registered representatives who overcharged commissions to clients.
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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.
An introducing broker-dealer that provides retail customers with commission-free trading through its website and mobile applications settled FINRA charges for significant systemic failures that led to (i) customers receiving false or misleading information, (ii) system-wide outages and (iii) customers being inappropriately approved to trade options.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.