FINRA requested comment on proposed amendments to FINRA transaction reporting rules on "delayed Treasury spot trades in corporate debt securities."
A broker-dealer settled FINRA charges for failing to assess the suitability of margin use in customer accounts and to monitor for excessive margin trading.
A broker-dealer settled FINRA charges for failing to supervise several registered representatives who recommended potentially high-risk securities to customers without assessing suitability.
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.
A broker-dealer settled FINRA charges for mislabeling, over-reporting and failing to timely report securities transactions to the Trade Reporting and Compliance Engine.