Enforcement Trends - Year in Review 2024
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Enforcement Trends - Year in Review 2024
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About this listen
The TRADEliance consultants have been hard at work this year, so it has been a while since we were able to make a new episode for you. In this episode, Jesy and Kat share their observations regarding FINRA enforcement trends for 2024 in the Capital Market space. Those trends include:
- Founders Jesy and Kat share updates from 2024
- Rule 605 & 606 reports
- Market Access
- Fixed Income Trade Reporting (TRACE and RTRS)
- Best Execution
- Trade Confirmations
- Prevailing Market Price
- Reg SHO
- Consolidated Audit Trail (CAT)
So sit back, pour yourself a glass of wine, and listen to us share our take-aways on the 2024 FINRA fines.
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