Year: 2022

This past week FTX filed for bankruptcy. While the second largest crypto exchange may have thought it couldn’t get worse, it did. FTX has discovered a hack that may have resulted in a large loss, according to the Washington Post. …

This Week In Securities Litigation (Week of November 14, 2022) Read More »

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EXAMS – the Division of Examinations – published a Risk Alert on November 10, 2022, providing its Observations Related to Regulation NMS Rule 606 Disclosures (here). That Rule requires broker-dealers to provide enhanced disclosures about the handling of customer orders. …

EXAMS and Implementing Reg NMS Rule 606 Disclosures Read More »

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