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    2016 Compliance Roundup - The Naughty List

    December 20, 2016 | By Joe Boyhan

     

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    SEC & FINRA Enforcement Actions: 2017 Trump 2016? [Webinar]

    December 13, 2016 | By Joe Boyhan

     

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    FINRA Plans To Up Annual Gift Limit to $175

    August 12, 2016 | By Joe Boyhan

     

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    FINRA Fines in 2016 - 7 Key Facts

    August 9, 2016 | By Joe Boyhan

    *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.

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    FINRA Fines Barclays Capital Inc. $1.3 Million

    August 8, 2016 | By Bethany Sirven

    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.

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