Michael Diver

Michael Diver

Katten Muchin Rosenman LLP

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FINRA Settles First Significant CAT Reporting Enforcement Action

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 its alleged failure to comply with...more

9/8/2023  /  Broker-Dealer , Consolidated Audit Trail , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Financial Markets , Financial Services Industry , Securities and Exchange Commission (SEC)
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