In an administrative ruling, FinCEN clarified that broker-dealers were required to collect information when opening new accounts for customers who receive assets as the beneficiary of an estate.
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FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
The SEC extended consideration of a proposed rule change to shorten the time allowed for post-trade reporting of debt securities. The date to approve or disapprove the proposed rule was extended to April 24, 2024.
FINRA adopted a new rule to require that broker-dealers file their order routing reports with FINRA to facilitate public dissemination of the information.
In comments in response to FINRA's and MSRB's proposal to shorten the time allowed for post-trade reporting in debt securities, SIFMA recommended that FINRA and MSRB reconsider if a one-minute trade reporting requirement is appropriate for fixed income markets.