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Learn more about the most current regulatory issues and their impact on organizations like yours.
Here at MCO we keep a close eye on the activities of the regulators. Q1 2017 was a record opening quarter and we now look at 7 key highlights from the FINRA fines review as we hit the mid-year point.
Here at MCO we keep a close eye on the activities of regulators. By our calculations, Q1 has been a record quarter for FINRA fines sanctioned. Read the highlights here; FINRA fines in Q1 2017 - 6 Findings.
*Updated Jan 2017
We delved into the official disciplinary actions released from FINRA for 2016 and have been keeping a score sheet of all the fines by month. Now we present to you 7 facts from this long list of fines.
Financial Industry Regulatory Authority (FINRA) has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures.