United States: Options Firm Settles NYSE American Charges For Order Marking Deficiencies - Cadwalader, Wickersham & Taft LLP

Mondaq

27 Jul 2021 0 shares 1 views

United States: Options Firm Settles NYSE American Charges For Order Marking Deficiencies - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 27 Jul 2021

A firm settled NYSE American charges for mismarking long sale orders as "short," and short sale orders as "long," due to intermittent system issues and programming errors, respectively.

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

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United States: Options Firm Settles NYSE American Charges For Order Marking Deficiencies - Cadwalader, Wickersham & Taft LLP

United States: Options Firm Settles NYSE American Charges For Order Marking Deficiencies - Cadwalader, Wickersham & Taft LLP

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