A broker-dealer settled SEC and FINRA charges for reporting incomplete and inaccurate securities trading information.

SEC Chair Jay Clayton and SEC Division of Trading and Markets Director Brett Redfearn reviewed agency efforts to improve equity market structure.

The SEC granted conditional relief from certain Consolidated Audit Trail reporting requirements requested by FINRA and the national securities exchanges.

At an SEC Fixed Income Market Structure Advisory Committee meeting, SEC Chair Jay Clayton and Commissioners Elad L. Roisman and Hester M. Peirce addressed issuers concerning rating agencies, bond pricing, trade transparency and internal fund crosses.

The SEC amendments to facilitate the implementation of the Consolidated Audit Trail and impose public transparency and financial accountability requirements were published in the Federal Register.

The SEC adopted amendments to facilitate the implementation of the Consolidated Audit Trail. The amendments impose public transparency and financial accountability requirements.

The SEC issued Orders granting exemptive relief to support the implementation of the Consolidated Audit Trail.

The SEC granted a request from various securities exchanges to provide limited exemptive relief from timestamp granularity requirements under the National Market System Plan Governing the Consolidated Audit Trail.

A broker-dealer settled SEC charges for violating recordkeeping and reporting requirements relating to electronic bluebook submissions.

SEC staff issued no-action relief from Consolidated Audit Trail requirements in order to enable broker-dealers to implement COVID-19 contingency plans.

In a speech before the National Economists Club, SEC Commissioner Hester M. Peirce questioned the agency's current data collection process and analysis.

In testimony before the Senate Committee on Banking, Housing and Urban Affairs, SEC Chair Jay Clayton described progress on the agency's FY 2019 initiatives.

SEC Commissioner Hester Peirce offered recommendations to shift the agency's focus from enforcement to compliance.

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.

FINRA proposed updating the monthly trade reporting fees for participants using the FINRA/NYSE Trade Reporting Facility.

The SEC proposed rescinding certain exceptions to national market system regulations concerning fee changes to a national market system plan.

Two broker-dealers settled separate SEC charges for submitting deficient electronic blue sheet data.

An SEC proposal to facilitate the implementation of the Consolidated Audit Trail was published in the Federal Register.

SEC Chair Jay Clayton extended the charter of the Fixed Income Market Structure Advisory Committee for another year.

SEC Chief Economist and Director of the Division of Economic and Risk Analysis S.P. Kothari highlighted policy challenges of big data.

SEC Commissioner Elad Roisman highlighted the theme of improved transparency in fixed income markets.

The SEC named Manisha Kimmel to serve as Senior Policy Advisory for Regulatory Reporting.

Three broker-dealers agreed to settle SEC charges for failing to submit complete and accurate securities trading information on electronic blue sheets.

FINRA announced the effective date of a modified trade reporting regime for agency debt securities.

A Delaware-based broker-dealer agreed to settle SEC charges for failing to submit accurate and complete securities trading information on electronic blue sheets.