The Financial Industry Regulatory Authority will collect about $800,000 in fines from over a dozen brokerages for stock and options trading and trade reporting violations, according to the regulator's January disciplinary actions report.
Most of the fines stem from routine violations of FINRA's trade reporting requirements, but some are due to violations of federal trading rules. Reporting violations constituted the single largest category, accounting for about $635,000 of the total.
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