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                  • December 05, 2019

                    FINRA Selects Amazon as Cloud Provider for CAT

                    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.
                  • November 25, 2019

                    FINRA Reminds Market Participants of Upcoming Changes to Published OTC Equity Trading Volume Data

                    FINRA reminded market participants that on December 2, 2019, additional firm data concerning OTC equity trading will be available on the agency's website.
                  • November 22, 2019

                    Broker-Dealer Settles FINRA Charges for OATS Reporting and Supervisory Failures

                    A broker-dealer settled FINRA charges for failing to report "millions" of reportable order events to the Order Audit Trail System.
                  • October 25, 2019

                    NYMEX Issues Fines for Trade Practice Violations

                    The New York Mercantile Exchange charged two traders for block trade submission violations and prearranged transactions, respectively.
                  • October 25, 2019

                    CFTC Extends Comment Deadline on Swap Data Reporting Proposal

                    The comment deadline for a CFTC proposal amending swap data reporting regulations was extended from October 28, 2019 to January 27, 2020.
                  • October 23, 2019

                    Broker-Dealer Settles FINRA Charges for TRACE Reporting Violations

                    A broker-dealer settled FINRA charges for failing to report Trade Reporting and Compliance Engine-eligible securities.
                  • October 22, 2019

                    Senate Banking Committee Hears Concerns about Data Protection for the Consolidated Audit Trail System

                    The Senate Banking Committee considered data protection and other concerns raised about the consolidated audit trail system.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • October 21, 2019

                    Broker-Dealer Pays Fine for Late Reporting to TRACE

                    A broker-dealer settled FINRA charges for failing to report certain transactions to Trade Reporting and Compliance Engine in a timely manner.
                  • October 16, 2019

                    FINRA Reminds Market Participants to Transition from CTCI to FIX Protocol

                    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.
                  • October 10, 2019

                    FINRA Amends Proposal on Reference Data for New Issues of Corporate Bonds

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