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within Intellectual Property, Government, Public Sector, Food, Drugs, Healthcare and Life Sciences topic(s)
with readers working within the Consumer Industries industries
A broker-dealer settled FINRA charges for the delayed
reporting of municipal securities transactions.
According to FINRA, Dinosaur Financial Group LLC
("Dinosaur") failed to report in a timely manner and/or
correctly report 892 TRACE-eligible securities transactions between
October 2015 and September 2017. Additionally, Dinosaur allegedly
backdated Real-Time Transaction Reporting System reports on several
occasions.
Dinosaur agreed to pay a fine of $200,000 and to enhance its
supervisory systems and procedures.
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