FINRA adopted a rule change that would require firms to use the same timestamp granularity for trade reports to FINRA's Equity Trade Facilities that are used in submissions to the Consolidated Audit Trail.
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21984 News Results
The SEC adopted a regulatory framework for fund valuation practices which clarifies how a fund's Board of Directors can satisfy obligations concerning fair value determination.
SIFMA recommended "minor enhancements" to the SEC's proposed amendments to the National Market System Plan governing the Consolidated Audit Trail.
A broker-dealer settled FINRA charges for failing to conduct sufficient annual independent testing of its anti-money laundering compliance program three times over the course of a five-year period.
At an Asset Management Advisory Committee meeting, SEC officials considered a subcommittee's proposed recommendations on environmental, social, and governance disclosure.