United States: FINRA Cautions Firms On Best Execution And Payment For Order Flow Compliance Obligations - Cadwalader, Wickersham & Taft LLP

Mondaq

29 Jun 2021 0 shares 1 views

Mondaq

Published 29 Jun 2021

FINRA reminded firms of their obligations under current regulations and guidance on best execution and payment for order flow.

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..