WASHINGTON--(BUSINESS WIRE)--The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic Order Audit Trail System (OATS) reporting violations spanning a period of more than eight years, failure to accurately submit required trade reports to the appropriate FINRA Trade Reporting Facility (TRF), and related supervisory failures. Thomas Gira, Executive Vice President of FINRA Market Regulation, said, “
| < Prev | Next > |
|---|
