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Listen "Enforcement Trends - Year in Review 2024"
Episode Synopsis
The TRADEliance consultants have been hard at work this year, so it has been a while since we were able to make a new episode for you. In this episode, Jesy and Kat share their observations regarding FINRA enforcement trends for 2024 in the Capital Market space. Those trends include: Founders Jesy and Kat share updates from 2024Rule 605 & 606 reportsMarket AccessFixed Income Trade Reporting (TRACE and RTRS)Best ExecutionTrade ConfirmationsPrevailing Market PriceReg SHOConsolidated Audit Trail (CAT) So sit back, pour yourself a glass of wine, and listen to us share our take-aways on the 2024 FINRA fines. Support the show
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