A broker-dealer settled charges with FINRA for reporting transactions to the Trade Reporting and Compliance Engine without the required "No Remuneration" indicator.
News & Insights
The Inter-Agency Working Group for Treasury Market Surveillance reported progress on efforts to ensure that the Treasury market "remains the deepest and most liquid market in the world and a central component of the financial system."
FINRA proposed amendments to the Trade Reporting and Compliance Engine Rules to provide for FINRA to disseminate information on certain Treasury security transactions.
A broker-dealer settled charges with FINRA for failing to timely report trades and for incorrectly reporting internal transfers as "securitized products transactions" to the Trade Reporting and Compliance Engine and to the MSRB's Real-time Transaction Reporting System.
Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.