10/05/2023
FINRA also faulted the firm for flaws in its process for principal review, including not requiring multiple customer applications to be considered and not mandating comparison of information being provided.
10/02/2023
US Attorney Damian Williams says: “No matter how evasive insider traders’ conduct, or the lengths gone to hide their offenses, this Office will track down and prosecute those who attempt to cheat the system.”
09/11/2023
The pension funds accuse the banks of trying to corner the market with their own system called EquiLend, while hindering the development of new platforms that would execute the borrowing and lending of electronic securities.