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FINRA has issued two risk alerts in less than six months cautioning about the risks of ACATS fraud
FINRA enforcement action follows on prior exam sweep and sweep update
Broker-dealer implements numerous steps to improve system for approving customers for options trading in wake of enforcement action
Firms paused fund raising for years over single trades
FINRA's five new focus areas are financial crimes, manipulative trading, fixed income/fair pricing, fractional shares, and Reg SHO
T+1 will become a reality in May 2024 after 3-2 Commission vote
Financial Decision Concept with Buy and Sell Dices Stock Market Chart and Calculator. 3D Render
This is the trade blotter format that SEC examiners would like to see firms produce on exams
Two Brokers in Euphoria
He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"
Proposal bans Commission personnel from investing in financial industry sector funds
Happy waitress taking an order at a restaurant and talking to customers
The proposed rule would prohibit a restricted competition trading center from internally executing certain orders of individual investors at a price unless the orders are ...

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