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                  • October 09, 2019

                    Federal Register: FINRA Changes Method for Calculating Trade Reporting Fees

                    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.
                  • October 04, 2019

                    FINRA Changes Method for Calculating Trade Reporting Fees

                    FINRA proposed updating the monthly trade reporting fees for participants using the FINRA/NYSE Trade Reporting Facility.
                  • September 17, 2019

                    Broker Dealers Settle SEC Charges for Deficient Electronic Blue Sheet Data

                    Two broker-dealers settled separate SEC charges for submitting deficient electronic blue sheet data.
                  • July 30, 2019

                    SEC Chair Jay Clayton Extends FIMSAC Charter for One Year

                    SEC Chair Jay Clayton extended the charter of the Fixed Income Market Structure Advisory Committee for another year.
                  • April 18, 2019

                    SEC Commissioner Elad Roisman Urges More Transparency in Fixed Income Markets

                    SEC Commissioner Elad Roisman highlighted the theme of improved transparency in fixed income markets.
                  • January 29, 2019

                    SEC Names Senior Policy Advisor for Regulatory Reporting

                    The SEC named Manisha Kimmel to serve as Senior Policy Advisory for Regulatory Reporting.
                  • December 10, 2018

                    Three Broker-Dealers Settle SEC Charges of Inaccurate Blue Sheet Reporting

                    Three broker-dealers agreed to settle SEC charges for failing to submit complete and accurate securities trading information on electronic blue sheets.
                    Conor.Almquist@cwt.com's picture
                    Commentary by Conor Almquist
                  • October 17, 2018

                    FINRA Announces Effective Date of Modified Trade Reporting Regime for Agency Debt Securities

                    FINRA announced the effective date of a modified trade reporting regime for agency debt securities.
                  • September 13, 2018

                    Broker-Dealer Settles SEC Charges of Inaccurate and Incomplete Securities Trading Information

                    A Delaware-based broker-dealer agreed to settle SEC charges for failing to submit accurate and complete securities trading information on electronic blue sheets.
                  • August 27, 2018

                    SEC Provides Update on CAT Implementation Delays

                    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.
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