United States: FINRA Requests Comments On Educating New Investors - Cadwalader, Wickersham & Taft LLP

Mondaq

05 Jul 2021 0 shares 1 views

Mondaq

Published 05 Jul 2021

Regulators should be focusing at least as much on education as on imposing more prohibitions.

United States: Firm Settles Charges For Supervisory And Risk Management Control Violations - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Jul 2021

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

Mondaq 27 Jul 2021

The SEC named YJ Fischer Director of the Office of International Affairs. She starts in her new role on August 2, 2021.