United States: SEC Approves FINRA's Proposed Restrictions On Firms With History Of Misconduct - Cadwalader, Wickersham & Taft LLP

Mondaq

18 Dec 2020 0 shares 1 views

Mondaq

Published 18 Dec 2020

Further, Ms. Peirce disagreed with the scope of individuals that would be subject to additional scrutiny under the amendments.

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United States: FINRA Amends Timestamp Trade Reporting Requirements - Cadwalader, Wickersham & Taft LLP

FINRA adopted a rule change that would require firms to use the same timestamp granularity for trade reports to FINRA's Equity..

Mondaq 09 Dec 2020

The officials stated that the observed limitations extend to the auditing of Hong Kong-based firms, insofar as the operations of..

Mondaq 02 Dec 2020