![United States: Firm Settles FINRA Charges For Inadequate Oversight Of Credit And Trading - Cadwalader, Wickersham & Taft LLP](https://cdn.newsserve.net/ONPglobe256.png)
United States: Firm Settles FINRA Charges For Inadequate Oversight Of Credit And Trading - Cadwalader, Wickersham & Taft LLP
Firm Settles FINRA Charges for Inadequate Oversight of Credit and Trading.
Full Article
Firm Settles FINRA Charges for Inadequate Oversight of Credit and Trading.
Full ArticleA firm settled FINRA and NYSE Arca charges for mismarking sell orders and failing to document compliance with SEC Regulation SHO..