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

Mondaq

08 Apr 2021 0 shares 1 views

Mondaq

Published 08 Apr 2021

A broker-dealer settled NYSE charges for compliance failures concerning customer credit limits and setting erroneous order controls.

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United States: Trading Firm Settles NYSE Arca Charges For Net Capital Calculation Violations - Cadwalader, Wickersham & Taft LLP

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