United States: Firm Settles FINRA Charges For TRACE Reporting Violations - March 29, 2021 - Cadwalader, Wickersham & Taft LLP

United States: Firm Settles FINRA Charges For TRACE Reporting Violations - March 29, 2021 - Cadwalader, Wickersham & Taft LLP

Mondaq

Published

A firm settled FINRA charges for incorrectly and inadequately reporting Treasury transactions to the Trade Reporting and Compliance Engine ("TRACE").

Full Article