The SEC approved a FINRA proposal to establish new order routing disclosure report publication requirements for OTC and National Market System equity securities orders.
News & Insights
The SEC extended a deadline to consider whether to approve or disapprove a FINRA proposal to establish new order routing disclosure report publication requirements for over-the-counter and National Market System equity securities orders. The SEC extended the deadline from June 4, 2023 to August 3, 2023.
The SEC opened a new comment period to consider whether to approve a joint SRO-proposed amendment to revise the Consolidated Audit Trail Reporter Agreement and the Consolidated Audit Trail Reporter Agent Agreement.
The securities exchanges that participate in the Consolidated Audit Trail withdrew proposed amendments to the CAT Reporter Agreement and the CAT Reporter Agent Agreement.
The securities exchanges that participate in the Consolidated Audit Trail withdrew proposed amendments to implement a revised funding model and impose a related fee schedule.