The FINRA proposal updating the method for calculating trade reporting fees for broker-dealers using the FINRA/NYSE Trade Reporting Facility was published in the Federal Register.
Three broker-dealers agreed to settle SEC charges for failing to submit complete and accurate securities trading information on electronic blue sheets.
A Delaware-based broker-dealer agreed to settle SEC charges for failing to submit accurate and complete securities trading information on electronic blue sheets.
SEC Division of Trading and Markets Director Brett Redfearn said that the self-regulatory organizations are struggling with deadlines for implementing various aspects of the consolidated audit trail.