FINRA proposed requirements for members to produce quarterly order routing disclosure reports for OTC equity securities submitted on a held basis.
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A broker-dealer settled FINRA charges for misapplying the Multi-Day Approach in calculations of the pre-fail credits and close-out obligations of five affiliated foreign broker-dealers.
FINRA provided a Consolidated Audit Trail Onboarding Guide to members. The Guide provides information for first time users to access the CAT Test and Production Environments.
The OTC Bulletin Board will shut down and FINRA will delete OTCBB-related rules on November 8, 2021.
FINRA's National Adjudicatory Council revised its Sanctions Guidelines to include CAT reporting violations guidelines. The revisions reflect the transition of audit-trail reporting from OATS to CAT.