United States: Broker-Dealer Settles NYSE Arca Charges For Reporting Inaccurate Origin Codes - Cadwalader, Wickersham & Taft LLP

Mondaq

23 Nov 2020 0 shares 1 views

Mondaq

Published 23 Nov 2020

A broker-dealer settled NYSE Arca, Inc. charges for executing options orders that contained inaccurate origin codes.

United States: Broker-Dealer Settles Charges Of MSRB Trade Reporting Failures - Cadwalader, Wickersham & Taft LLP

A broker-dealer settled FINRA charges for failing to accurately report trades to the MSRB.

Mondaq 25 Nov 2020

A broker-dealer and its former Chief Compliance Officer settled FINRA charges for failing to reasonably establish and maintain an..

Mondaq 24 Nov 2020