Enforcement Year in Review 2023

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