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$1.85 Million Paid to Customers
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $1.575 million and ordered the firm to pay $1.85 million to customers for failing to report required information to FINRA, failing to produce documents in discovery to customers who filed arbitrations, and for not applying applicable
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FINRA has updated the TRACE Corporate and Agencies Web API specification.
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
Remarks From MarketsMedia/Traders Magazine Equity Market Structure Town Hall Forum
Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Updates.