FINRA reminded firms that they will be required to report transactions executed in U.S. Treasuries to TRACE beginning July 10, 2017.
News & Insights
At an upcoming meeting, the CFTC Market Risk Advisory Committee will consider Central Counterparty Risk Management Subcommittee recommendations, cybersecurity and performance in the derivatives market.
The SEC announced enforcement actions against twenty-seven individuals and entities in relation to stock promotion schemes, and cautioned investors to be skeptical of information and articles published on investment research websites.
The SEC Division of Corporation Finance granted exemptive relief allowing an Indian company to make an issuer tender offer that will remain open for a total of 10 working days.
FINRA revised its Sanction Guidelines to reflect developments in FINRA's disciplinary process and the levels of sanctions imposed during proceedings.