Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Thursday, July 18, 2013

FINRA Fines Newedge USA for Violations

On July 11, 2013, the Financial Industry Regulatory Authority (“FINRA”), announced that they and BATS Exchange, Inc., the New York Stock Exchange, NYSE Arca, and the NASDAQ Stock Market have censured and fined Newedge USA, LLC of Chicago $9.5 million.

http://www.securitieslawyer101.com/newbridg/

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