United States: Trading Firm Settles NYSE Arca Charges For Deficient Controls - Cadwalader, Wickersham & Taft LLP

Mondaq

21 Dec 2020 0 shares 1 views

Mondaq

Published 21 Dec 2020

A proprietary trading firm settled NYSE Arca charges for risk management failures as to controls over erroneous orders and capital limits.

United States: Clearing Firm Settles NYSE American Charges For Options Reporting Failures - Cadwalader, Wickersham & Taft LLP

Mondaq 21 Dec 2020

A clearing firm settled NYSE American charges for failing to accurately report options positions to the Large Options Position..