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Friday, October 8, 2021

Regulatory Notice 21-36

Summary The Financial Crimes Enforcement Network (FinCEN) has issued the first government-wide priorities for anti-money laundering and countering the financing of terrorism policy,1 which was mandated by the Anti-Money Laundering Act... [...]
Wednesday, October 6, 2021

Regulatory Notice 21-35

Summary FINRA requests comment on a proposal to require members to publish quarterly order routing disclosure reports for held orders in OTC Equity Securities. The proposed new quarterly reports would... [...]