A broker-dealer settled FINRA charges for failing to accurately report non-broker-dealer customers' transactions to the Trade Reporting and Compliance Engine.
News & Insights
SIFMA criticized two proposals to shorten the required reporting time for certain fixed income securities - one by FINRA and the other by the MSRB.
The SEC extended to November 16, 2022, the period for consideration of a FINRA proposal to shorten the permitted syndicate account settlement timeframe for corporate debt offerings.
In a new report, the CFPB identified "Buy Now, Pay Later" credit program and product risks; CFPB Director Rohit Chopra directed staff to take additional action.
In a blog post, SIFMA asserted that the SEC did not anticipate the negative impact that applying the SEA rule on quotations without specific information to fixed income securities would have on the market for securities that are sold in reliance on certain exemptions.