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Update on FINRA s Use of CAT Data – They Are Just Scratching the Surface | McGuireWoods LLP

During FINRA’s 2023 Annual Conference held on May 16-18, 2023, several panels provided insight into how FINRA is currently using CAT data for market surveillance and how FINRA plans to.

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PRIA Healthcare Named Best Place to Work in Hartford Business Journal s 2023 Awards

PRIA Healthcare Named Best Place to Work in Hartford Business Journal s 2023 Awards
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FINRA Fines Deutsche Bank Securities, Inc $2 Million For Best Execution Violations

<p><span>FINRA announced today that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek best execution for its customers’ orders.</span></p>

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Finra fines Deutsche $2 million for failing to get best prices for customers

Finra said Tuesday it fined Deutsche Bank Securities Inc. $2 million for failing to obtain the best prices for customers on stock trades.

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College Key Newsletter: 2021 | Alumni

President's ReportOn behalf of the Executive Committee, I want to extend continued safe and healthy well wishes to you, your families

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