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FINRA Fines BarCap $1.3M for Reporting ‘Failures'

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Waters Technology

The failures included missing or duplicate reports, and erroneous data for timestamps and execution quantities, among other data fields. Industry regulator FINRA (the Financial Industry Regulatory Authority) has fined Barclays Capital $1.3 million for "systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures."


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