![United States: Firm Settles FINRA And NYSE Arca Charges For Order Marking And Reg. SHO Locate Rule Violations - Cadwalader, Wickersham & Taft LLP](https://cdn.newsserve.net/ONPglobe256.png)
United States: Firm Settles FINRA And NYSE Arca Charges For Order Marking And Reg. SHO Locate Rule Violations - Cadwalader, Wickersham & Taft LLP
A firm settled FINRA and NYSE Arca charges for mismarking sell orders and failing to document compliance with SEC Regulation SHO ("Short Sale") locate requirements.
Full Article