{"id":1462,"date":"2014-06-07T21:01:25","date_gmt":"2014-06-07T21:01:25","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/06\/finra_headlines_sro_fines_gold_2"},"modified":"2022-03-11T13:12:02","modified_gmt":"2022-03-11T19:12:02","slug":"finra-headlines-sro-fines-gold-2","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-headlines-sro-fines-gold-2\/","title":{"rendered":"FINRA Headlines: SRO Fines Goldman Sachs, Merrill Lynch, and Barclays Capital $1M Each & Makes Dark Pool Data Available"},"content":{"rendered":"

\t\t\t\tFINRA Fines Merrill Lynch, Goldman, and Barclays Capital $1M Each Over Blue Sheet Data <\/strong><\/p>\n

The Financial Industry Regulatory Authority has issued a censure that fines Goldman Sachs & Co. (GS), Merrill Lynch, Pierce Fenner & Smith Inc., and Barclays Capital Inc. $1 million each. The firms are accused of not submitting accurate and complete data about trades conducted by them and their customers to the SRO and other regulators. This information is known as “blue sheet” data. Firms are legally required to give regulators this information upon request.<\/p>\n

Blue sheets give regulators specific information about trades, including the name of a security, the price, the day it was traded, who was involved, and the size of transaction. This information is helpful to identify anomalies in trading and look into possible market manipulations.<\/p>\n

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

FINRA Fines Merrill Lynch, Goldman, and Barclays Capital $1M Each Over Blue Sheet Data The Financial Industry Regulatory Authority has issued a censure that fines Goldman Sachs & Co. (GS), Merrill Lynch, Pierce Fenner & Smith Inc., and Barclays Capital Inc. $1 million each. The firms are accused of not submitting accurate and complete data […]<\/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":[3756,3752,3739,3754,3800],"tags":[],"class_list":["post-1462","post","type-post","status-publish","format-standard","hentry","category-barclays-capital","category-financial-firms","category-finra","category-goldman-sachs-1","category-merrill-lynch"],"yoast_head":"\nFINRA Headlines: SRO Fines Goldman Sachs, Merrill Lynch, and Barclays Capital $1M Each & Makes Dark Pool Data Available — Investor Lawyers Blog — June 7, 2014<\/title>\n<meta name=\"description\" content=\"FINRA Fines Merrill Lynch, Goldman, and Barclays Capital $1M Each Over Blue Sheet Data The Financial Industry Regulatory Authority has issued a censure — June 7, 2014\" \/>\n<meta name=\"robots\" content=\"index, follow, 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