United States: FINRA Sets Effective Date For Complete Replacement Of OATS By Consolidated Audit Trail - Cadwalader, Wickersham & Taft LLP

Mondaq

24 Jun 2021 0 shares 1 views

Mondaq

Published 24 Jun 2021

FINRA set September 1, 2021 as the effective date for the elimination of the Order Audit Trail System ("OATS") rules.

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United States: Effective Date Set For FDIC Revised Statement Of Policy On Minority Depository Institutions - Cadwalader, Wickersham & Taft LLP

An FDIC revised statement of policy regarding minority depository institutions that "updates, strengthens and clarifies" existing..

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A firm settled FINRA charges for failing to submit accurate trade information to the Order Audit Trail System ("OATS") and the..

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