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A broker-dealer settled NYSE Arca charges for (i) failing to obtain customer consent prior to adjusting an options trade, (ii) executing the trade at terms that the customer had said were not acceptable and (iii) recordkeeping failures.

A broker-dealer settled parallel NYSE Arca and NYSE American charges for failing to "establish, document, and maintain a system of risk management controls" reasonably designed to (i) prevent the entry of erroneous orders and (ii) supervise the review of potential erroneous orders post-transaction.