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Between January 2021 and April 2024, WallachBeth violated FINRA Rules 3110 and 2010 by failing to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with rules prohibiting manipulative trading. For this violation, WallachBeth is censured and fined $100,000.
FINRA's Intraday Margin Standard: What Investors and Members Need to Know
On this episode of FINRA Unscripted, learn why FINRA replaced the decades-old Pattern Day Trader rule — including the $25,000 minimum equity requirement — with a modern, risk-based intraday margin standard, and what the change means for investors and member firms.
TRADITION SECURITIES AND DERIVATIVES LLC
Information
- Reporter ID
- TFAS
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://traditionsd.com/sec_605_reports.php
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-31-2026 | https://traditionsd.com/sec_605_reports.php |
OSAIC INSTITUTIONS, INC.
Information
- Reporter ID
- OIIF
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://osaic.com/disclosures
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-31-2026 | https://osaic.com/disclosures |