Citadel Securities to Pay $1M Over CAT Reporting Failures

Published on October 16, 2024

Citadel Securities fell short on reporting data for tens of billions of order events, FINRA says.

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MMI: Asset Managers Lag Meeting Wealth Managers’ Needs for Non-Traditional Products

October 16, 2024
Many asset managers are still not offering direct indexing options or liquid funds for alternatives, according to new industry survey.

Ex-Ameriprise Broker Sanctioned Over Leveraged ETFs

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