Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.
A broker-dealer settled SEC charges for reporting incomplete and inaccurate securities trading information on required electronic blue sheet submissions.
A firm settled charges with FINRA for inaccurately reporting 600,000 transactions to the Trade Reporting and Compliance Engine due to its failure to include a "No Remuneration" indicator.
The Financial Information Forum asked FINRA for clarification on new requirements for order routing disclosure reports for OTC and National Market System equity securities orders.
The SEC approved proposed amendments submitted by participants of the National Market System Plan Governing the Consolidated Audit Trail to revise the plan's funding model and to establish a fee schedule.