Enforcement Year in Review 2023
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Enforcement Year in Review 2023
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Narrated by:
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Written by:
This episode focuses on the trends in FINRA Enforcement over the course 2023. TRADEliance discusses a several high level trends before doing a more in depth discussion on two topics: Manipulative Trading and Market Access.
- Jesy and Kat crack open some mediocre bubbly to celebrate this episode.
- Firms should take note of conducting thorough testing to prevent and detect system issues.
- Many of the trends in enforcement also highlight the need for training.
- Other topics discussed include:
- Trade Confirmations
- Recordkeeping
- 605/606
- TRACE Trade Reporting
- LOPR
- Private Placements
- Reg Sho
- Best Ex
- Market Orders for New Issues in the Secondary Market
- Marking to Market Surveillance
- CAT
- Oversubscription of Partial Tender Offers
For information on any of the cases discussed, contact solutions@tradeliance.com
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