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SEC Exam Priorities - Broker-Dealer Trade Practices
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - November 16, 2023 15:00 - 23 minutes - 15.8 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: Successful FINRA CAT and CAIS Reporting - Part 2
Each year the SEC publishes its exam priorities for the coming year. Join us for today’s podcast as Oyster Consulting’s Capital Markets experts Jeff Gearhart, Frank Childress and Jose Fernandez share their thoughts on the priorities related to broker-dealer trading practices including:
· Rule 15c2-11
· Reg SHO
· Reg ATS and filing requirements
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