FINRA Fines Goldman Sachs $1.8M for Trade Reporting Failures
Goldman Sachs Group has agreed to pay $1.8 million to resolve allegations by the Financial Industry Regulatory Authority that one of its units failed to accurately submit required trade reports, filed inaccurate trading data for more than eight years, and did not have adequate systems and controls in place ...
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ArticleDOJ wants less monitoring, more self-disclosure and fine reductions, Galeotti says
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