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Broker-Dealer Compliance + Regulation

Additional Fees on Securities Transactions – FINRA Sees No Justification

Broker-Dealer Compliance + Regulation on

In an area of broker-dealer practices with relatively little guidance—the appropriate level of commissions or mark ups on securities trades—FINRA recently brought another in a series of cases that provides insight into the...more

Katten Muchin Rosenman LLP

FINRA to Conduct Targeted Examinations Regarding Order Routing and Execution Quality of Customer Orders in Exchange-Listed Stocks

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The Financial Industry Regulatory Authority, Inc.’s Market Regulation Department has issued a targeted examination letter dated July 2014 to certain FINRA member firms notifying each firm that FINRA’s Trading Examinations...more

Broker-Dealer Compliance + Regulation

FINRA Announces and Publishes Its Sweep of Order Routing Practices

Broker-Dealer Compliance + Regulation on

FINRA announced this week that it is conducting a review of its member firms’ order-routing processes and procedures and the execution quality of customer orders in exchange-listed stocks. We previously reported in this...more

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