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Settlement › Reporting Requirements › Broker-Dealer

Orrick, Herrington & Sutcliffe LLP

FINRA AWC details reporting failures

Orrick, Herrington & Sutcliffe LLP on

On January 27, FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) addressing alleged violations committed by the respondent, retail market maker offering execution services to broker-dealers and member firm...more

Cornerstone Research

SEC Enforcement Actions Against Public Companies and Subsidiaries Jump in FY 2023

Cornerstone Research on

Total monetary value of settlements fell to lowest level in last eight fiscal years. The U.S. Securities and Exchange Commission (SEC) filed 91 enforcement actions against public companies and subsidiaries in fiscal year...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Adopts T+1 Settlement Cycle for Most Securities Transactions but Permits T+2 for Firm Commitment Offerings

Skadden, Arps, Slate, Meagher & Flom LLP on

On February 15, 2023, the Securities and Exchange Commission (SEC) adopted final rule amendments that will shorten the standard settlement cycle for most broker-dealer securities transactions from two business days after the...more

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