FINRA Fines Barclays Capital, Goldman Sachs and Merrill Lynch $1 Million Each for Submitting Inaccurate Blue Sheet Data

Source: FINRA Newsroom

Washington — The Financial Industry Regulatory Authority (FINRA) today announced it has censured and fined Barclays Capital, Inc.; Goldman Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as "blue sheet" data, to FINRA, the SEC and other regulators.

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