TD Ameritrade agreed to pay $600K to resolve FINRA’s flawed automated approval allegations

June 3, 2024

TD Ameritrade agreed to pay $600,000 to resolve allegations claiming the firm violated FINRA’s rules by relying on an inadequate automated approval system for options trading.

The post TD Ameritrade agreed to pay $600K to resolve FINRA’s flawed automated approval allegations appeared first on ABA Banking Journal.

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