FINRA proposed amendments to Consolidated Audit Trail NMS plan rules to add consistency for certain NMS Plan exemptions and "to facilitate the retirement of certain existing regulatory systems."
A broker-dealer agreed to pay $250,000 to settle various FINRA reporting violations, including failing to disclose its sales compensations on preferred securities transactions to customers.
NFA extended relief previously provided to futures commission merchants / introducing brokers, swap dealers and forex dealer members from certain recordkeeping requirements.
The SEC granted conditional relief from certain Consolidated Audit Trail reporting requirements requested by FINRA and the national securities exchanges.
The CFTC's Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight extended relief previously provided to registrants due to compliance challenges caused by COVID-19.
SIFMA urged the SEC to prohibit self-regulatory organizations from bulk downloading retail customers' personally identifiable information from the Consolidated Audit Trail.
FINRA and the national securities exchanges participating in the National Market System Plan Governing the Consolidated Audit Trail amended a previous request to the SEC for exemptive relief from certain reporting requirements.
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.
A broker-dealer settled FINRA charges for inaccurately reporting to the Trade Reporting and Compliance Engine the capacity in which it acted in executing reportable transactions.
SIFMA President and CEO Kenneth E. Bentsen, Jr. urged the SEC not to make broker-dealers liable for any potential security breaches in the agency's 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.
