SEC Chair Jay Clayton attributed the successful implementation of the Consolidated Audit Trail to specific implementation details and milestones, engagement with stakeholders and focused leadership.
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22393 News Results
A broker-dealer offering "commission-free" trading settled SEC charges for material misrepresentations relating to its revenue sources and execution quality.
The SEC approved FINRA's proposed rule changes, with some amendments, permitting certain conditions or restrictions to be imposed on broker-dealers that have a "significant history" of misconduct or that hired associated persons with such a history.
FINRA named Scott W. Anderson as Executive Vice President and Head of Market Regulation and Transparency Services.
In the U.S. District Court for the Southern District of New York, a pair of affiliated interdealer brokers settled CFTC fraud charges related to fictitious bids that had not been made and reported trades that had not occurred.