Broker inspections require expanded annual coverage with transparent selection and mandatory quarterly reporting and follow-up. Stock exchanges must increase annual inspections of active brokers, including subsidiaries of other exchanges registered as brokers, adopt transparent selection criteria and an inspection policy, ensure comprehensive inspections with adequate follow-up and disciplinary action, and submit standardized quarterly reports in a two-part format detailing summary metrics and comprehensive broker level inspection records.
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Provisions expressly mentioned in the judgment/order text.
Broker inspections require expanded annual coverage with transparent selection and mandatory quarterly reporting and follow-up.
Stock exchanges must increase annual inspections of active brokers, including subsidiaries of other exchanges registered as brokers, adopt transparent selection criteria and an inspection policy, ensure comprehensive inspections with adequate follow-up and disciplinary action, and submit standardized quarterly reports in a two-part format detailing summary metrics and comprehensive broker level inspection records.
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