A broker-dealer settled NYSE American LLC charges for (i) failing to keep accurate records of manual customer orders that were routed to the NYSE American Options floor, and (ii) related supervisory violations.
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The SEC adopted amendments to its filing fee disclosure and payment methods.
SEC Investor Advocate Rick Fleming expressed concern that the use of digital engagement practices blurs the distinction between solicited and unsolicited trading under Regulation Best Interest.
SEC Division of Enforcement Director Gurbir Grewal asserted that the "decline in trust in our financial markets" is in part a result of "repeated lapses by large businesses, gatekeepers, and other market participants." He said that regulators do not hold them sufficiently accountable.