![United States: FINRA Proposes Applying Its Rules To Security-Based Swaps - Cadwalader, Wickersham & Taft LLP](https://cdn.newsserve.net/ONPglobe256.png)
United States: FINRA Proposes Applying Its Rules To Security-Based Swaps - Cadwalader, Wickersham & Taft LLP
FINRA proposed amendments to clarify the application of FINRA rules to security-based swaps.
Full Article
FINRA proposed amendments to clarify the application of FINRA rules to security-based swaps.
Full ArticleA firm settled FINRA and NYSE Arca charges for mismarking sell orders and failing to document compliance with SEC Regulation SHO..
Firm Settles FINRA Charges for Inadequate Oversight of Credit and Trading.