United States: Firm Settles FINRA Charges For Inadequate Oversight Of Credit And Trading - Cadwalader, Wickersham & Taft LLP

Mondaq

12 May 2021 0 shares 1 views

Mondaq

Published 12 May 2021

Firm Settles FINRA Charges for Inadequate Oversight of Credit and Trading.

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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..