Goldman Sachs Fined By FINRA For Trade-Monitoring Failures

[Gunnar Larson]

Goldman Sachs Fined By FINRA For Trade-Monitoring Failures
<https://www.law360.com/newyork/articles/1795253?nl_pk=ac5a3855-e47c-4403-bee6-ca14f9bcf831&utm_source=newsletter&utm_medium=email&utm_campaign=newyork&utm_content=2024-02-08&read_main=1&nlsidx=0&nlaidx=5>

By Sydney Price

Goldman Sachs agreed to pay over $500,000 to the Financial Industry
Regulatory Authority to settle claims that it failed to include certain
information in surveillance reports designed to identify potentially
manipulative trading.

 Letter attached | Read full article »
<https://www.law360.com/newyork/articles/1795253?nl_pk=ac5a3855-e47c-4403-bee6-ca14f9bcf831&utm_source=newsletter&utm_medium=email&utm_campaign=newyork&utm_content=2024-02-08&read_more=1&nlsidx=0&nlaidx=5>
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