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FINRA Settles First Significant CAT Reporting Enforcement Action | Katten Muchin Rosenman LLP

On August 16, Instinet, LLC (Instinet or the Firm) agreed to pay a $3.8 million fine to settle an enforcement action with the Financial Industry Regulatory Authority (FINRA) regarding. ....

Exchange Commission , Financial Industry Regulatory Authority , Consolidated Audit Trail , Alleged Failure ,

Financial Industry Regulatory Authority Fines Instinet, LLC

Financial Industry Regulatory Authority Fines Instinet, LLC
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Mario Robertson , Exchange Commission , Risk Monitoring Program , Financial Industry Regulatory Authority , Consolidated Audit Trail , Alleged Failure ,