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”‎

Postby kreslik.news » Tue Jun 28, 2016 8:14 pm


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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