FINRA Levies $6 Million Fine on Deutsche Bank For Late “blue sheets”
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FINRA Levies $6 Million Fine on Deutsche Bank For Late “blue sheets”
The Financial Industry Regulatory Authority (FINRA), the largest independent regulator for all securities firms doing business in the United States, said Wednesday it has fined Deutsche Bank Securities Inc. $6 million for failing to provide accurate and complete “blue sheets” on over 1 million trades from 2008 to 2015, according to a FINRA statement.
Deutsche Bank neither admitted nor denied the charges, but consented to the entry of FINRA’s findings. Also, the bank has agreed to implement enhancements to meet regulatory reporting requirements and retain an independent consultant to remedy issues related to so-called blue sheets, as part of its settlement ... (read more)
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