Fines & Wines

Enforcement Year in Review 2023

November 09, 2023 TRADEliance Season 1 Episode 12
Fines & Wines
Enforcement Year in Review 2023
Show Notes

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

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