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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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.
A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to the routing of non-directed orders in national market system securities.
FINRA proposed two new rules that would require broker-dealers to publish order routing disclosure reports for over-the-counter and National Market System equity securities orders.
FINRA warned investors to exercise caution when investing in small capitalization initial public offerings due to an increase in pump-and-dump schemes.