SEC Regulation SHO Rule 200 – Global Relay Intelligence & Practice

SEC Regulation SHO Rule 200

Enforcement

FINRA disciplinary action update 2024/18

May 17, 2024

Disciplinary decisions issued May 4 – 10, 2024.

Thomas Hyrkiel2 min read
Enforcement

Goldman Sachs and Citadel Securities settle SEC recordkeeping charges

September 26, 2023

SEC repeats its warnings to firms about the importance of record retention.

Julie DiMauro3 min read
Enforcement

FINRA disciplinary action update #19

July 5, 2023

Disciplinary decisions issued June 23 – June 29, 2023.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update #7

April 12, 2023

Disciplinary decisions issued March 31 – April 6, 2023.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update #3

March 13, 2023

Disciplinary decisions issued March 3 – 9, 2023.

Thomas Hyrkiel1 min read