A broker-dealer agreed to settle SEC charges for the improper handling of "pre-released" American Depositary Receipts and related supervisory failures.
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.
In a newly published consultative document, the Bank for International Settlements Basel Committee on Banking Supervision proposed several "limited adjustments" to the credit valuation adjustment risk framework.
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 FINRA proposal to delay the implementation date of rule amendments on margin requirements for Covered Agency Transactions was published in the Federal Register.
FINRA proposed extending the implementation date of rule amendments on margin requirements for "to-be-announced" transactions and other forward-settling agency securities transactions.