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.
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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.
FINRA notified broker-dealers of the due dates on filing requests for extensions of time to satisfy margin deficiencies prior to and after the 2023 holidays (when the exchanges or banks are closed).
A broker-dealer settled FINRA charges for failing to supervise two of its registered representatives that made unsuitable investment recommendations.