United States: Broker-Dealer Settles SEC Charges For SAR Filing Failures - Cadwalader, Wickersham & Taft LLP

Mondaq

17 May 2021 0 shares 1 views

Mondaq

Published 17 May 2021

To settle the charges, the broker-dealer agreed to (i) a censure and (ii) a $1.5 million civil monetary penalty.

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..

The SEC stated that the actions were a result of an SEC initiative focused on companies that announced financial restatements or..

Mondaq 04 May 2021