A broker-dealer settled FINRA charges for failing to use approved methods when estimating per-share Direct Participation Program and Real Estate Investment Trust valuation information distributed to customers.
A broker-dealer settled FINRA charges for late and inaccurate reporting and recordkeeping violations.
Comments on a FINRA proposal to require TRACE reporting of transactions in U.S. dollar-denominated foreign sovereign debt securities must be submitted by June 7, 2022.
Public statements in response to a petition to review a recently approved FINRA rule change are due by May 10, 2022.
The SEC approved a FINRA proposal that amends the TRACE protocols to (i) require the dissemination of transactions in collateralized mortgage obligations ("CMOs"), and (ii) shorten the trade-reporting timeline for CMO transactions from end-of-day to within 60 minutes of execution.