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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
FINRA fines Deutsche Bank $6 million for submitting inaccurate trade data
The Financial Industry Regulatory Authority fined Deutsche Bank Securities $6 million for failing to provide complete, accurate trade data in an automated format in a timely manner when requested by FINRA and the U.S. Securities and Exchange Commission. Jaclyn Jaeger reports.
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