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...
Transparency Services Market Regulation Department Stephanie Dumont Gene Demaio Options Regulation Section Regulation Department
Source: jdsupra.com