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SEC s Upcoming Report on GameStop and Payment for Order Flow: What to Watch | Carlton Fields

The Securities and Exchange Commission (SEC) will soon release its report and recommendations regarding the GameStop event last January and related equity market structure issues. In.

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FINRA Clarifies Guidance On Best Execution And Payment For Order Flow - Finance and Banking

The Financial Industry Regulatory Authority (FINRA) recently issued a Regulatory Notice (Notice) reminding firms of their obligations with respect to best execution and payment for order flow.

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FINRA Notice to Brokerage Firms on SEC Rules, Professional Practices

FINRA Notice to Brokerage Firms on SEC Rules, Professional Practices
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