US: Broker-Dealer settles FINRA and Nasdaq Charges for submitting erroneous Orders www.findknowdo.com/news/05/23/2023/broker-dealer-settles-finra-and-nasdaq-charges-submitting-erroneous-orders 0 Share this:Click to share on LinkedIn (Opens in new window)Click to share on WhatsApp (Opens in new window)Click to share on Twitter (Opens in new window)Click to share on Facebook (Opens in new window) June 19, 2023 webmaster Banking, Regulatory, US Banking, Regulatory, US Switzerland: Tokenization of Investment Fund Units UK: MoU with EU on regulatory Cooperation in Financial Services