Some US brokerages found to have inadequate supervisory procedures, incorrect market-price determinations
( January 10, 2023, 19:48 GMT | Official Statement) -- MLex Summary: The Financial Industry Regulatory Authority’s 2023 report on its Exam and Risk-Monitoring Program flagged brokerages’ inadequate supervisory procedures, incorrect market-price determinations and reporting failures, among other findings. See document below....
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