SIFMA Forum: SEC Rule 605 Implementation
The SEC recently adopted amendments to Rule 605 of Regulation NMS for order executions in stocks which will enhance the…
On April 22nd, FINRA discussed their new organizational model for monitoring and examining broker-dealers, with a focus on financial and operational examination priorities.
This webinar is available to view on demand through June 22, 2021.
If you registered for this webinar before 9:30 a.m. ET April 22, 2021, click here to watch now.
New registrant? Please register below; you will receive access instructions within three business days.
Watch this webinar on demand to learn about:
On April 22nd, FINRA discussed their new organizational model for monitoring and examining broker-dealers, with a focus on financial and operational examination priorities.
This webinar is available to view on demand through June 22, 2021.
If you registered for this webinar before 9:30 a.m. ET April 22, 2021, click here to watch now.
New registrant? Please register below; you will receive access instructions within three business days.
Watch this webinar on demand to learn about: