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…
Join SIFMA on April 6, 2021 from 1:00-2:15pm ET to hear directly from FINRA experts on some of the many threats facing your firms and typologies of which you should be aware to mitigate or investigate these threats.
Among other topics, the panel will discuss recent trends in insider trading, options trading fraud, imposter scams, cyber-enabled crime, and other trading related frauds occurring at, by, or through broker-dealer firms.
Join SIFMA on April 6, 2021 from 1:00-2:15pm ET to hear directly from FINRA experts on some of the many threats facing your firms and typologies of which you should be aware to mitigate or investigate these threats.
Among other topics, the panel will discuss recent trends in insider trading, options trading fraud, imposter scams, cyber-enabled crime, and other trading related frauds occurring at, by, or through broker-dealer firms.