This week’s episode of Oyster Stew is Part 2 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Market Integrity, the Market Access Rule, and Best Execution requirements. Future exam priorities podcast topics will include: Technology and Cybersecurity… READ MORE
In case you’re wondering what the regulators will be focusing on this year, they let you know when they publish their annual Exam Priorities Letters. This week’s episode of Oyster Stew is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and… READ MORE
Just a few weeks ago, FINRA sent targeted examination letters to a select group of firms requesting information as part of a review of how firms handle the conflicts of interest related to payments or other inducements for order routing. These letters are coming from the Trading & Financial Compliance Examinations (TFCE) section in Market… READ MORE
