In this episode, TRADEliance founders, Jesy and Kat, review a high-profile enforcement action with a lot to unpack. So, pour yourself a glass of wine and listen as they discuss:
- Failing to reasonably supervise the firm’s maintenance and reporting of accurate and complete trade, order, and position data such as:
- Blue Sheets.
- Reporting fractional shares to TRF and CAT reporting.
- Mismarking option orders origin code.
- Customer option positions to LOPR.
- The firm's short interest positions.
- Executing trades during trading halts and failing to comply with Reg NMS to address extraordinary market volatility.
Also, send your recommendations for new wine openers to solutions@tradeliance.com!
Read the FINRA Press Release here.
TRADEliance consultants have the practical experience in Trading Operations & Compliance that help you achieve results. For a free needs assessment, contact solutions@tradeliance.com
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