FINRA reminded market participants that it will no longer support the Computer-to-Computer Interface as a reporting method for TRACE and Over-the-Counter Reporting products.
News & Insights
21980 News Results
A financial advisor pleaded guilty to conspiracy, money laundering, and violations of the Foreign Corrupt Practices Act.
The California Attorney General proposed draft regulations to the soon-to-be effective California Consumer Privacy Act. The proposed regulations provide clarity on the collection and use of personal data by businesses and organizations.
A broker-dealer settled FINRA charges for reporting and supervisory failures concerning the MSRB Short-Term Obligation Rate Transparency System.
The MSRB provided FAQs on close-outs of interdealer municipal securities transactions.