Comments on a FINRA proposal to require TRACE reporting of transactions in U.S. dollar-denominated foreign sovereign debt securities must be submitted by June 7, 2022 .
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FINRA proposed to require TRACE reporting of transactions in U.S. dollar-denominated foreign sovereign debt securities.
A broker-dealer settled FINRA charges for failing to use approved methods when estimating per-share Direct Participation Program and Real Estate Investment Trust valuation information distributed to customers.
A broker-dealer settled FINRA charges for late and inaccurate reporting and recordkeeping violations.
A private fund manager and chief investment officer settled SEC charges for compliance deficiencies that led to inaccurate valuations of client assets.