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SEA 1934 Rule 15c3-3
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FINRA disciplinary action update 2024/20
Disciplinary decisions issued May 18 – 24, 2024.
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SEC issues risk alert on T+1 transaction settlement cycle
Move aims to help broker-dealers preparing for a shortened standard settlement cycle.
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FINRA disciplinary action update 2024/6
Disciplinary decisions issued February 10 – 16, 2024.
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FINRA member Nomura fined for books and records failings
The investment banking and brokerage services firm overstated its daily net capital by misclassifying 5,657 reverse repos.