FINRA fines Citigroup Global Market $175.000 for alleged violations of Rules 611(a) and (c) of Regulation NMS, NASD Rule 3010, and FINRA Rules 3110 and 2010.

FINRA - Financial Industry Regulatory Authority

Source

Published on Jan. 29th, 2021 Published on Jan. 29th, 2021

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Sept. 20th, 2021

ORX Forum

ELSEWARE/MSTAR will be speaking on climate stress on operational risk at the ORX forum on September 23. In particular, we will be presenting the work we have done on this topic with the American Bankers Association and a group of banks.