FINRA imposes $900,000 fine on Credit Suisse Securities for deficient TRACE reports
Credit Suisse reported to TRACE approximately 9,000 late trades, primarily in securitized products, and hundreds of thousands of inaccurate TRACE reports.
Credit Suisse reported to TRACE approximately 9,000 late trades, primarily in securitized products, and hundreds of thousands of inaccurate TRACE reports.
Jefferies LLC has agreed to pay a fine of $55,000 to settle allegations of violations of rules concerning transaction reports.
FINRA fines Citadel Securities for multiple issues with correctly reporting Treasury transactions to TRACE.