Oyster Stew - A Broth of Financial Services Commentary and Insights
Our financial services industry insights come from on-the-ground experience, successfully navigating complex challenges and business. Our insights are your opportunities.
Oyster Stew - A Broth of Financial Services Commentary and Insights
SEC Exam Priorities - Broker-Dealer Trade Practices
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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