A broker-dealer settled charges in a number of closely related enforcement actions brought by the various "NYSE Exchanges," for supervisory failings over "trading activity in warrants, rights, units, and certain OTC equity securities."
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The Options Clearing Corporation proposed amendments to formalize the procedures under which it would adjust the parameters for calculating margin requirements during periods of high market volatility.
The equity exchanges submitted a new joint national market system plan "to govern the public dissemination of real-time consolidated equity market data for NMS stocks."
A broker-dealer settled charges brought by NYSE American for over-tendering 16,300 shares in a partial tender offer and for failing to maintain an adequate supervisory system.
Trade associations and financial groups responded to a CFTC proposal that would further define requirements on recovery and wind-down plans prepared by derivatives clearing organizations.