{"id":1222,"date":"2013-03-30T21:19:50","date_gmt":"2013-03-30T21:19:50","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2013\/03\/barclays_capital_interactive_b"},"modified":"2022-03-10T16:33:31","modified_gmt":"2022-03-10T22:33:31","slug":"barclays-capital-interactive-b","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/barclays-capital-interactive-b\/","title":{"rendered":"Barclays Capital, Interactive Brokers, Lebenthal & Co., and Advisors Asset Management Pay $105,000 in FINRA Fines Related to Municipal Securities Rulemaking Board Violations"},"content":{"rendered":"

\t\t\t\tThe Financial Industry Regulatory Authority is ordering four financial firms to pay $105,000 in fines for Municipal Securities Rulemaking Board violations related to political contribution, pricing, supervision, and other rules. The SRO noted the fines in its monthly disciplinary report. <\/p>\n

One firm, Interactive Brokers LLC, must pay $7,500 for trade reporting violations related to Rule G-14’s requirements. The financial firm is accused of not reporting 60 sale and purchase transactions to the Real Time Transaction Reporting System within 15 minutes of their execution during 2010’s third quarter.<\/p>\n

A second firm, Barclays Capital Inc, has to pay $15,000 for violating rules G-14, G-8, and G-27. The firm purportedly did not report 40 transactions to the RTRS, also within 15 minutes of their execution during 2011’s second quarter. It is accused of not reporting the correct trade time of 66 transactions. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Financial Industry Regulatory Authority is ordering four financial firms to pay $105,000 in fines for Municipal Securities Rulemaking Board violations related to political contribution, pricing, supervision, and other rules. The SRO noted the fines in its monthly disciplinary report. One firm, Interactive Brokers LLC, must pay $7,500 for trade reporting violations related to Rule […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3756,3752,3850],"tags":[],"class_list":["post-1222","post","type-post","status-publish","format-standard","hentry","category-barclays-capital","category-financial-firms","category-interactive-brokers-llc"],"yoast_head":"\nBarclays Capital, Interactive Brokers, Lebenthal & Co., and Advisors Asset Management Pay $105,000 in FINRA Fines Related to Municipal Securities Rulemaking Board Violations — Investor Lawyers Blog — March 30, 2013<\/title>\n<meta name=\"description\" content=\"The Financial Industry Regulatory Authority is ordering four financial firms to pay $105,000 in fines for Municipal Securities Rulemaking Board violations — March 30, 2013\" 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