📰 Compliance Engine News
Page 4 - Compliance Engine News Today
Fast, Ad-Free News Updates
Stay updated with breaking news from Compliance Engine. Real-time updates on events, politics, business and more.
August 16, 2022
Almost all proprietary trading firms that are currently registered as broker-dealers with the Securities and Exchange Commission (SEC) would likely be required to join the Financial...
August 11, 2022
On August 2, 2022, FINRA proposed to amend FINRA Rule 6730(a)(1) to reduce the Trade Reporting and Compliance Engine ("TRACE") reporting timeframe for transactions in "TRACE-Eligible Securities"...
August 11, 2022
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
August 9, 2022
On August 2, 2022, the Financial Industry Regulatory Authority, Inc. (“FINRA”) proposed to amend FINRA Rule 6730(a)(1) (the “FINRA Proposal”) to reduce the Trade Reporting and...
June 21, 2022
Monday night's City Council meeting led off with passage of an ordinance authorizing a three-year agreement between the City of Sedalia, the Sedalia Fire Department and Brycer.
June 16, 2022
FINRA enforcement arm policed crowdfunding misconduct, trading volume overstatements. Recent managed options trading strategy arbitrations continue. FINRA followed through initiatives on restricted firm designations, complex products, broker-dealer complaint expungement.
June 16, 2022
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...
June 15, 2022
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued...
June 14, 2022
FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include eligible ATS transactions that involve only one member (other than the ATS).
June 14, 2022
JAC is a club of futures exchanges, in their capacities as SROs. Under a delegation of authority from the CFTC, the JAC monitors and examines member FCMs for compliance with financial, reporting and risk management requirements adopted by member SROs and the CFTC.