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A-Team Insight Briefs

FINRA Fines Morgan Stanley for Incorrect Trading Data

13 July 2020
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The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley $875,000 for failing to provide accurate trade data (also known as “blue sheets”) in an automated format when requested to do so by FINRA and the SEC. The regulator found that the bank had experienced significant failures in its blue sheet systems between 2014 and 2017, and made numerous deficient or inaccurate submissions. Morgan Stanley, which has not admitted or denied the charges, claims that human error was the cause of the inaccurate submissions.

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Related content

WEBINAR

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Data Management Insight RegTech Insight