Fines & Wines
Fines & Wines is a podcast by TRADEliance - a consulting firm for firms in the U.S. financial industry focused on Trading Operations and Compliance issues. Listen in as Jesy and Kat discuss their take on some of the recent disciplinary actions shaping the financial industry over a glass of fine wine. Though these episodes are intended to be casual, and a fun take on discussing regulation, our consultants are serious when it comes to helping you out. www.tradeliance.com
Fines & Wines
Enforcement Trends - Year in Review 2024
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TRADEliance
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Season 1
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Episode 13
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.
