FINRA Levies $1.6 Million in Fine on Morgan Stanley for Supervisory Failures

Retrieved on: 2024-02-15 18:09:48

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United States securities law

Financial Industry Regulatory Authority

Financial markets

Municipal Securities Rulemaking Board

Morgan Stanley

Broker-dealer

Security

Securities Exchange Act

MSRB

Selling away

MORGAN STANLEY SMITH BARNEY LLC

The Financial Industry Regulatory Authority

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FINRA Levies $1.6 Million in Fine on Morgan Stanley for Supervisory Failures. View article details on HISWAI: https://www.financemagnates.com/institutional-forex/finra-levies-16-million-in-fine-on-morgan-stanley-for-supervisory-failures/

Excerpt

The Financial Industry Regulatory Authority (FINRA) has announced a fine of $1.6 million against Morgan Stanley Smith Barney LLC.

Article found on: www.financemagnates.com

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