FINRA fines Deutsche Bank $6 million for missing and late trade info – The FCPA Blog

Deutsche Bank Securities Inc. paid a $6 million fine for failing to provide complete and accurate trade data to FINRA and the SEC.

It was the biggest fine the Wall Street regulator has imposed for so-called blue sheet violations.

As part of the settlement, Deutsche Bank agreed to retain an independent consultant to improve the way it keeps and produces trade data.

via FINRA fines Deutsche Bank $6 million for missing and late trade info – The FCPA Blog