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.

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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

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