Trading

For the second time ever--and the second time in two months--FINRA has expelled a broker-dealer for Reg BI violations, including churning and excessive trading

Before engaging in a principal trade, an adviser would first have to disclose certain information to the client

Concerns expressed by both compliance and trading desk about a new account opening fell on deaf ears

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

This is the trade blotter format that SEC examiners would like to see firms produce on exams