Legal
FINRA fines Barclays $1.3 million for order reporting violations
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures. FINRA rules require firms to transmit to OATS complete and accurate data relating to events in the lifecycle of an…
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