US EditionFINRA Fines Cantor Fitzgerald for Regulation Notification Failures
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FINRA Fines Cantor Fitzgerald for Regulation Notification Failures
Between 2017 and 2022, the regulator claims Cantor submitted dozens of untimely or inaccurate filings to FINRA regarding its intent to engage in syndicate covering transactions and trading activities. According to FINRA, the firm violated several rules, including Regulation M Rule 104 and FINRA Rules 2010 and 5190, by failing to notify regulators in a timely manner and by filing incomplete information during distributions where it acted as mana…
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