The SEC extended the 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.
News & Insights
A broker-dealer settled FINRA charges for failing to report the time of execution in the finest increment of time captured by its system when reporting transactions in Treasury securities to TRACE.
The SEC opened a new comment period to consider whether to approve a joint SRO-proposed amendment to revise the Consolidated Audit Trail Reporter Agreement and the Consolidated Audit Trail Reporter Agent Agreement.
A broker-dealer settled FINRA charges for overstating the firm's daily trading volume by nearly 148,000,000 shares on Bloomberg and Thomson Reuters, subscriber-based market data platforms.
A firm operating as a "market center" settled FINRA charges for under-reporting "covered orders" in contravention of SEC disclosure requirements on order execution.