United States: FINRA Provides Technical Guidance For OATS Retirement - Cadwalader, Wickersham & Taft LLP

Mondaq

28 Aug 2021 0 shares 1 views

United States: FINRA Provides Technical Guidance For OATS Retirement - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 28 Aug 2021

FINRA provided technical guidance to firms impacted by the retirement of the Order Audit Trail System ("OATS"), which will take place on September 1, 2021.

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United States: Broker-Dealer Settles FINRA Charges For Failing To Monitor Private Transactions - Cadwalader, Wickersham & Taft LLP

A broker-dealer settled FINRA charges for failing to adequately supervise and keep records for one of its registered..

Mondaq 28 Aug 2021

United States: FINRA Provides Technical Guidance For OATS Retirement - Cadwalader, Wickersham & Taft LLP

United States: FINRA Provides Technical Guidance For OATS Retirement - Cadwalader, Wickersham & Taft LLP

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United States: Broker-Dealer Settles FINRA Charges For Failing To Monitor Private Transactions - Cadwalader, Wickersham & Taft LLP

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