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

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting