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The self-regulatory organization alleges that BarCap failed to properly report data about equity transactions and violated supervisory procedures.
The Financial Industry Regulatory Authority (FINRA) has fined broker-dealer Barclays Capital $800,000 for equity trade reporting violations and related violations of FINRA’s supervisory procedures, according to documentation made public by FINRA. BarCap will pay $650,000 for the equity trade reporting violations and $150,000 for the supervisory violations, according to the letter of acceptance, waiver and...
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