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 ConfirmationsRecordkeeping 605/606TRACE 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 [email protected] the show

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