Trading

Firm fined for failing to reasonably supervise the transmittal of customer funds through externally initiated ACH transfers by third parties

A FINRA review of a broker-dealer's advertised trading volume uncovered the overstating of volume on Bloomberg by 2.1 billion shares

"Shortening the cycle also means reducing the credit, market, and liquidity risks of the clearinghouse. Lowering risks for market participants and clearinghouses, alike, reduces the ...

Enforcement actions shine a spotlight on supervisory systems, including WSPs, and suitability requirements pertaining to excessive trading

This is the SEC's rule shortening the trading cycle to T+1

This is another rule related to the SEC's move to T+1 settlement dates

"As the compliance date of May 28, 2024, approaches, the Commission will continue its efforts to help facilitate a successful transition"

'Major event' officially becomes operative on Tuesday, May 28, the day after Memorial Day

FINRA charged TD Ameritrade with not exercising "reasonable due diligence" before approving certain customers to trade options

FINRA exam sweep status update featured questions brokerage firms should consider asking when approving options trading