SEA 1934 Rule 15c3-3 – Global Relay Intelligence & Practice

SEA 1934 Rule 15c3-3

Enforcement

FINRA disciplinary action update 2024/41

October 30, 2024

Disciplinary decisions issued October 19 – 25, 2024.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update 2024/20

May 28, 2024

Disciplinary decisions issued May 18 – 24, 2024.

Thomas Hyrkiel1 min read
Reporting

SEC issues risk alert on T+1 transaction settlement cycle

March 28, 2024

Move aims to help broker-dealers preparing for a shortened standard settlement cycle.

Julie DiMauro2 min read
Enforcement

FINRA disciplinary action update 2024/6

February 20, 2024

Disciplinary decisions issued February 10 – 16, 2024.

Thomas Hyrkiel3 min read
Enforcement

FINRA member Nomura fined for books and records failings

January 18, 2023

The investment banking and brokerage services firm overstated its daily net capital by misclassifying 5,657 reverse repos.

Martina Lindberg2 min read