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within Intellectual Property, Government, Public Sector, Food, Drugs, Healthcare and Life Sciences topic(s)
with readers working within the Consumer Industries industries
A broker-dealer settled FINRA charges for late and inaccurate
trade reporting to the Trade Reporting and Compliance Engine
(TRACE). FINRA stated that the broker-dealer reported 398
securities transactions late and inaccurately reported another 141
transactions. According to FINRA, the late reports were due to
manual reporting and corrections to erroneous reports, and the
inaccurate reports were due to the bunching of smaller transactions
into a single report.
To settle the charges, the broker-dealer agreed to (i) a censure
and (ii) a fine of $50,000.
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