United States: Broker-Dealer Settles SEC Charges For Disclosure Failures - Cadwalader, Wickersham & Taft LLP

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23 Dec 2020 0 shares 1 views

United States: Broker-Dealer Settles SEC Charges For Disclosure Failures - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 23 Dec 2020

A broker-dealer offering "commission-free" trading (the "company") settled SEC charges for material misrepresentations relating to its revenue sources and execution quality, as well as for failure to satisfy its duty of best execution.

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United States: SEC Requests Comment On Broker-Dealer Custody Of "Digital Asset Securities" - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Dec 2020

The SEC requested comment on allowing limited purpose broker-dealers to custody "digital asset securities."

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United States: Broker-Dealer Settles NYSE Charges For Failing To Route Customer Orders - Cadwalader, Wickersham & Taft LLP

Mondaq 14 Dec 2020

A broker-dealer that acts as a market maker on the NYSE settled NYSE charges for mishandling customer orders prior to the opening..

United States: Broker-Dealer Settles SEC Charges For Disclosure Failures - Cadwalader, Wickersham & Taft LLP

United States: Broker-Dealer Settles SEC Charges For Disclosure Failures - Cadwalader, Wickersham & Taft LLP

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United States: SEC Requests Comment On Broker-Dealer Custody Of "Digital Asset Securities" - Cadwalader, Wickersham & Taft LLP

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United States: Broker-Dealer Settles NYSE Charges For Failing To Route Customer Orders - Cadwalader, Wickersham & Taft LLP