CFTC staff granted additional no-action relief from certain CFTC swap data reporting requirements relating to LIBOR transition.
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A general securities firm settled FINRA charges for mismarking orders.
Two broker-dealers settled FINRA charges for trade reporting and supervisory failures.
The SEC extended a 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. The SEC extended the deadline from June 4, 2023 to August 3, 2023.
To help firms prepare for the November 6, 2023 effective date for reporting transactions on TRACE involving foreign sovereign debt securities, FINRA will post a monthly file of FINRA Symbols and CUSIPs.