The TRADEliance consultants have been hard at work this year, so it has been a while since we were able to make a new episode for you.   In this episode, Jesy and Kat share their observations regarding FINRA enforcement trends for 2024 in the Capital Market space.  Those trends include:

• Founders Jesy and Kat share updates from 2024
• Rule 605 & 606 reports
• Market Access
• Fixed Income Trade Reporting (TRACE and RTRS)
• Best Execution
• Trade Confirmations
• Prevailing Market Price
• Reg SHO
• Consolidated Audit Trail (CAT)

So sit back, pour yourself a glass of wine, and listen to us share our take-aways on the 2024 FINRA fines.   

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