United States: Firm Settles NYSE Arca And NYSE American Charges For Inaccurate Order Reporting - Cadwalader, Wickersham & Taft LLP

Mondaq

07 May 2021 0 shares 1 views

United States: Firm Settles NYSE Arca And NYSE American Charges For Inaccurate Order Reporting - Cadwalader, Wickersham & Taft LLP

United States: Firm Settles NYSE Arca And NYSE American Charges For Inaccurate Order Reporting - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 07 May 2021

A firm settled NYSE Arca and NYSE American charges for incorrectly entering order receipt and entry times on its brokerage memoranda.

You might like

Related news coverage

United States: Firm Settles FINRA And NYSE Arca Charges For Order Marking And Reg. SHO Locate Rule Violations - Cadwalader, Wickersham & Taft LLP

Mondaq 28 May 2021

A firm settled FINRA and NYSE Arca charges for mismarking sell orders and failing to document compliance with SEC Regulation SHO..

United States: Firm Settles FINRA Charges For Suitability Violations On The Sale Of ETPs - Cadwalader, Wickersham & Taft LLP
Mondaq 24 May 2021
United States: Firm Settles FINRA Charges For OBA Violations - Cadwalader, Wickersham & Taft LLP
Mondaq 20 May 2021
United States: Global Indices Provider Settles SEC Charges For Disclosure Failures - Cadwalader, Wickersham & Taft LLP
Mondaq 20 May 2021
United States: Broker-Dealer Settles SEC Charges For SAR Filing Failures - Cadwalader, Wickersham & Taft LLP
Mondaq 17 May 2021

Advertisement

More coverage

United States: Firm Settles NYSE Charges For Sending Competing Orders On Behalf Of Client - Cadwalader, Wickersham & Taft LLP

Mondaq 12 May 2021

A firm operating a NYSE floor broker business settled NYSE charges for failing to detect that the firm's floor brokers entered..