이 에피소드에 관해
In this episode, TRADEliance founders, Jesy and Kat, review a high-profile enforcement action with a lot to unpack. So, pour yourself a glass of wine and listen as they discuss:
- Failing to reasonably supervise the firm’s maintenance and reporting of accurate and complete trade, order, and position data such as:
- Blue Sheets.
- Reporting fractional shares to TRF and CAT reporting.
- Mismarking option orders origin code.
- Customer option positions to LOPR.
- The firm's short interest positions.
- Executing trades during trading halts and failing to comply with Reg NMS to address extraordinary market volatility.
Also, send your recommendations for new wine openers to solutions@tradeliance.com!
Read the FINRA Press Release here.
TRADEliance consultants have the practical experience in Trading Operations & Compliance that help you achieve results. For a free needs assessment, contact solutions@tradeliance.com
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Introduction to Fines and Wines
Meet Jesy LeBlanc and Kat Miller, the founders of TRADEliance. This brief episode shares how Jesy and Kat met and their passion for talking about financial regulation while drinking wine.
TRADEliance is a consulting firm for broker dealer and investment adviser f…
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면책 조항: 이 페이지에 포함된 팟캐스트와 작품은 TRADEliance에서 가져온 것입니다. 이 팟캐스트는 소유자의 재산이며 Listen Notes, Inc.와 제휴하거나 보증하지 않습니다.
