United States: Broker-Dealer Settles FINRA Charges For Inaccurate Trade Reporting - Cadwalader, Wickersham & Taft LLP

Mondaq

15 Feb 2021 0 shares 1 views

Mondaq

Published 15 Feb 2021

A broker-dealer settled FINRA charges for incomplete and inaccurate Order Audit Trail System ("OATS") reporting.

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United States: Broker-Dealer Settles FINRA Charges For Customer Notification And Supervisory Failures - Cadwalader, Wickersham & Taft LLP

Mondaq 24 Feb 2021

A broker-dealer settled FINRA charges for failing to provide customers with required annual notifications and other information on..