In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.

The CFTC Division of Market Oversight granted supplemental relief to help swap execution facilities and designated contract markets more efficiently correct certain trading errors.

A broker-dealer settled FINRA charges for inaccurately reporting over 1 billion reportable order events to the Order Audit Trail System.

International trade associations developed a "Master Regulatory Reporting Agreement" to "simplify reporting across different European Union regulatory regimes."

The FINRA proposal amending the schedule of securities transaction credits for FINRA/Nasdaq Trade Reporting Facilities was published in the Federal Register.

In a speech before the National Economists Club, SEC Commissioner Hester M. Peirce questioned the agency's current data collection process and analysis.

A broker-dealer settled FINRA charges for late and inaccurate reporting and recordkeeping violations.

A broker-dealer agreed to settle SEC charges for the improper handling of "pre-released" American Depositary Receipts and related supervisory failures.

FINRA proposed modifying the schedule of securities transaction credits applicable to FINRA/Nasdaq Trade Reporting Facilities.

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.