Enforcement Year in Review 2023

Fines & Wines

Nov 9 2023 • 25 mins

This episode focuses on the trends in FINRA Enforcement over the course 2023.  TRADEliance discusses a several high level trends before doing a more in depth discussion on two topics: Manipulative Trading and Market Access.

  • Jesy and Kat crack open some mediocre bubbly to celebrate this episode.
  • Firms should take note of conducting thorough testing to prevent and detect system issues.
  • Many of the trends in enforcement also highlight the need for training.
  • Other topics discussed include:
    • Trade Confirmations
    • Recordkeeping
    • 605/606
    • TRACE Trade Reporting
    • LOPR
    • Private Placements
    • Reg Sho
    • Best Ex
    • Market Orders for New Issues in the Secondary Market
    • Marking to Market Surveillance
    • CAT
    • Oversubscription of Partial Tender Offers

For information on any of the cases discussed, contact solutions@tradeliance.com

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