United States: Broker-Dealer Settles Charges With Exchanges For Origin Code Violations - Cadwalader, Wickersham & Taft LLP

Mondaq

28 Oct 2021 0 shares 1 views

Mondaq

Published 28 Oct 2021

A broker-dealer settled charges by the Cboe BZX, C2 and EDGX exchanges for origin code violations and related supervisory violations.

United States: Oct 26: The Old Switcherooni - Cadwalader, Wickersham & Taft LLP

Mondaq 28 Oct 2021

Broker-Dealer settles FINRA charges for supervisory failures over mutual fund switches. DOL extends enforcement relief to ensure..