A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to its handling of customers' orders in National Market System securities.
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The SEC approved a FINRA proposal to establish new order routing disclosure report publication requirements for OTC and National Market System equity securities orders.
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.
A broker-dealer settled FINRA charges for mismarking nearly 60 million short sale orders as “long.”
A group of SROs withdrew a proposal to amend the CAT NMS Plan for the purpose of changing the way in which it would be funded.