A broker-dealer settled charges with FINRA for reporting transactions to the Trade Reporting and Compliance Engine without the required "No Remuneration" indicator.

The SEC granted exemptive relief to broker-dealers from requirements on the publication of quotations for fixed-income securities sold in compliance with rules on private resales of securities to institutions.

A firm settled charges with FINRA for inaccurately reporting 600,000 transactions to the Trade Reporting and Compliance Engine due to its failure to include a "No Remuneration" indicator.

FINRA will sponsor a production User Acceptance Test on September 9, 2023 for firms required to report transactions on TRACE involving foreign sovereign debt securities.