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.

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

Mondaq 29 Apr 2021

A trading firm settled NYSE Arca charges for incorrectly calculating net capital.

A firm, its chief compliance officer and one of its supervisors settled FINRA charges for supervisory failures relating to..

Mondaq 08 Apr 2021

The firm then failed to train the redesignated personnel in their new responsibilities regarding potential MNPI.

Mondaq 07 Apr 2021