FINRA CAT, LLC, the FINRA Consolidated Audit Trail Plan Processor responsible for building and managing the platform, selected Amazon Web Services, Inc. as its cloud provider.

FINRA reminded market participants that on December 2, 2019, additional firm data concerning OTC equity trading will be available on the agency's website.

A broker-dealer settled FINRA charges for failing to report "millions" of reportable order events to the Order Audit Trail System.

The New York Mercantile Exchange charged two traders for block trade submission violations and prearranged transactions, respectively.

The comment deadline for a CFTC proposal amending swap data reporting regulations was extended from October 28, 2019 to January 27, 2020.

A broker-dealer settled FINRA charges for failing to report Trade Reporting and Compliance Engine-eligible securities.

The Senate Banking Committee considered data protection and other concerns raised about the consolidated audit trail system.

A broker-dealer settled FINRA charges for failing to report certain transactions to Trade Reporting and Compliance Engine in a timely manner.

FINRA reminded market participants that it will no longer support the Computer-to-Computer Interface as a reporting method for TRACE and Over-the-Counter Reporting products.

FINRA amended a proposal concerning the collection and distribution of reference data for new issues of corporate bonds.