An investment adviser settled SEC charges for failing to file a Form 13-F, which requires quarterly public disclosure of the equity portfolios of an entity holding at least $100 million in securities assets.
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A firm settled FINRA charges for failing to (i) establish a reasonable supervisory system over potentially manipulative activity and customer credit limits, (ii) document review of the firm's market access risk management controls and (iii) accurately transmit information to the Order Audit Trail System.
A broker-dealer settled FINRA charges for misreporting short positions in equity securities.
FINRA sanctioned a broker-dealer and permanently banned its former CEO for enabling foreign traders to conduct a manipulative trading scheme.
FINRA CAT, LLC, the FINRA Consolidated Audit Trail Plan Processor responsible for building and managing the platform, selected Amazon Web Services, Inc. as its cloud provider.