Comments on a Treasury Department Office of Financial Research proposal to require certain institutions to submit daily reports on outstanding non-centrally cleared bilateral repurchase agreement transactions are due by March 10, 2023.
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The U.S. Treasury Department Office of Financial Research proposed requiring certain broker-dealers, government securities broker-dealers (including banks), other financial companies and investment advisers to submit daily trade and collateral information on their outstanding non-centrally cleared bilateral repurchase agreement transactions.
A broker-dealer settled FINRA charges for failing to monitor the fairness of mark-ups that it charged to retail customers through one of its registered representatives.
A broker-dealer settled FINRA charges for sending trade confirmations to customers that were materially inaccurate.
A broker settled FINRA charges for failing to report timely transactions in the Trade Reporting and Compliance Engine and for related supervisory failures.