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September 22, 2022

SIFMA criticized FINRA's proposal to require daily trade reporting for OTC options transactions, saying that it lacked regulatory clarity as to its scope and would leave broker-dealers ill-equipped to timely implement any changes necessary for compliance.

August 19, 2022

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.