by Joanna Fields | Aug 30, 2021 | Patomak Post
As families get through back-to-school checklists, Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) are similarly going through their own regulatory check lists for options market participants. There are several new...
by Joanna Fields | Jul 26, 2021 | Patomak Post
Financial Industry Regulatory Authority (FINRA) examiners are asking Consolidated Audit Trail (CAT) questions in broker-dealer annual exams this year, which in turn are raising concerns internally about how best to respond and how to comply. As outlined in its exam...
by Joanna Fields | Apr 13, 2021 | Patomak Post
On April 7, the SEC reportedly briefed Congress on the late March meltdown of family office Archegos Capital and its ongoing ripple effect throughout global markets. Similar to the aftermath of Long Term Capital Management’s 1998 collapse, it is clear that regulators...
