Trading

Firm overstated trade volume in 3,300 instances by 446 million shares over a three-year period

The relief hinges on the securitization participant maintaining written policies and procedures designed to meet four conditions

Compliance issues were tied to the supervision of outside brokerage accounts and the flow of information between research analysts and trading personnel

FINRA has determined not to set an effective date for the TRACE reporting amendments approved last September

Enforcement action offers the lesson to make sure to re-report TRACE-eligible transactions after they are rejected by the system

TSI and TSA breached their fiduciary duty to take reasonable steps to protect their clients’ interests from recognized material vulnerabilities to certain Models, which were ...

FINRA charged firm with failing to detect customers with cash accounts who engaged in free-riding in options and issued options

SEC settlement highlighted compliance review failures, the CCO's communications with a rep, and the ultimate resolution

"The Commission and self-regulatory organizations depend on the CAT to carry out our respective surveillance and enforcement responsibilities"