SEC, FINRA Enforcement: Money Manager Charged in Free-Riding Scheme
Among recent SEC actions were charges against a self-styled money manager for free-riding and fraud, while FINRA took on failures in WSPs and OATS compliance.
Keeping Clearing Clients Happy
Freud famously asked: What do women want? Women, of course, want what clearing-firm clients want: to be listened to. Listening is a simple concept; yet...