Risk and Compliance Articles

Moving Towards T+1 Settlement
Moving Towards T+1 Settlement

In February 2022, the SEC proposed new rules to shift to a trading day plus one business day settlement (T+1) cycle for securities trades in the US. In a coordinated effort, the Securities Industry and Financial Markets Association (SIFMA), the Investment Company...

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FINRA’s Top Enforcement Issues in 2021
FINRA’s Top Enforcement Issues in 2021

Our last blog provided an overview and key takeaways of FINRA’s 2022 Examination and Risk Monitoring Program Report. In this blog, we will take a closer look at FINRA’s top enforcement issues in 2021. According to Eversheds Sutherland’s annual report of FINRA’s...

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