The Financial Information Forum asked FINRA for clarification on new requirements for order routing disclosure reports for OTC and National Market System equity securities orders.
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The SEC approved proposed amendments submitted by participants of the National Market System Plan Governing the Consolidated Audit Trail to revise the plan's funding model and to establish a fee schedule.
FINRA will sponsor a production User Acceptance Test on September 9, 2023 for firms required to report transactions on TRACE involving foreign sovereign debt securities.
The SEC approved a FINRA proposal to establish new order routing disclosure report publication requirements for OTC and National Market System equity securities orders.
The SEC granted a request from multiple securities regulatory organizations for an extension of relief from CAT NMS Plan reporting requirements on activities on and off exchange floors.