The SEC extended the deadline to decide whether to approve or disapprove an amendment to the CAT NMS Plan proposal which would implement a revised funding model for the consolidated audit trail and establish a new fee schedule.
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The SEC requested comment on a partial amendment that would clarify the CAT NMS Plan proposal to implement a revised funding model for the consolidated audit trail and establish a new fee schedule.
The SEC extended the period to approve a joint SRO proposal to implement a revised funding model for the consolidated audit trail and establish a fee schedule for Participant CAT fees.
The SEC opened a new comment period to consider objections to proposed revisions to the funding model for the consolidated audit trail.
A broker-dealer settled FINRA charges for (i) accepting short sale orders without first fulfilling the locate requirement, (ii) reporting trades with an inaccurate capacity symbol and (iii) related supervisory failures.