United States: FINRA Highlights Changes To FOCUS Reporting Requirements For SBS Dealers - Cadwalader, Wickersham & Taft LLP

Mondaq

09 Jun 2021 0 shares 1 views

Mondaq

Published 09 Jun 2021

FINRA highlighted changes to the Financial and Operational Combined Uniform Single ("FOCUS") reporting requirements .

United States: Firm Settles FINRA And NYSE Arca Charges For Short Sale Violations - Cadwalader, Wickersham & Taft LLP

Mondaq 25 Jun 2021

A firm providing execution and routing services to broker-dealers settled FINRA and NYSE Arca charges.

Mondaq 14 Jun 2021

FINRA requested comments on (i) potential changes to its short interest reporting requirements, (ii) a new rule that would require..