FINRA informed firms that the SEC approved a rule amendment to create two new data reports for Trade Reporting and Compliance Engine ("TRACE")-eligible securities. The two new reports will be made available to subscribers on February 1, 2018.

FINRA notified firms that rules applying "pay-to-play" requirements to capital acquisition brokers will become effective on December 6, 2017.

A swap dealer agreed to pay a civil monetary penalty to settle CFTC charges related to providing inaccurate mid-market marks on swaps transactions and related reporting and supervisory violations.

New Public Company Accounting Oversight Board auditing rules now require auditors to identify "critical audit matters" within audit reports.