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Replies to post #295621 on NorthWest Biotherapeutics Inc (NWBO)
flipper44
07/20/20 11:53 PM
#295622 RE: Doc logic #295621
CogDiss 1188X
07/21/20 12:10 AM
#295627 RE: Doc logic #295621
“direct OTC customer orders for manual review and/or handling. Impacted orders were rendered inactive until the completion of a manual trader review,” FINRA said in the document earlier this month. According to the regulator, from at least September 2012 to the middle of September of 2014, the OTC desk traded ahead of those inactive OTC customer orders, in violation of FINRA Rule 5320 and failed to display them as required by FINRA Rule 6460.”