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Trade Reporting (67)
Your search for Trade Reporting returned 67 results.
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3/20/2019 | Content area: Broker-Dealer
This is the SEC form required to be filed by large traders.
1/17/2019 | Content area: Investment Adviser
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
11/06/2018 | Content area: Broker-Dealer
Order routing and execution practices have morphed in a big way over the past 18 years as technology and innovation have yielded securities markets th...
10/11/2018 | Content area: Broker-Dealer
FINRA has determined to address arbitration forum users’ concern that non-parties wanting to object to an order or subpoena have insufficient time to ...
8/30/2018 | Content area: Broker-Dealer
The consolidated audit trail project continues to be plagued by missed deadlines. But a new status report from the Director of the SEC’s Division of T...
6/14/2018 | Content area: Broker-Dealer
Trade reporting demands are rising on several fronts, and FINRA is finding new ways to use the data to keep tabs on firms and markets. Here’s the late...
3/15/2018 | Content area: Broker-Dealer
The amount of FINRA fines, sanctions, cases, and industry bars were all down in 2017 when compared with the prior year, according to the recent releas...
12/14/2017 | Content area: Broker-Dealer
FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the...
11/02/2017 | Content area: CPO/CTA
Morgan Stanley omitted mandatory futures and options data from its Part 17 Large Trader reports to the CFTC. These omissions were the result of four d...
10/05/2017 | Content area: Broker-Dealer
The first phase of data reporting for the Consolidated Audit Trail scheduled for the middle of next month coupled with the recent announcement of the ...
7/20/2017 | Content area: Broker-Dealer
Needed new guidance on coming fixed income confirmation disclosure requirements has been released by FINRA. The guidance—in the form of 45 FAQs—is aim...
7/13/2017 | Content area: Broker-Dealer
Broker-dealers are now off and running with the new requirement to report transactions in U.S. Treasury securities through FINRA’s Trade Reporting and...
4/10/2017 | Content area: Investment Adviser
A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's ...
4/04/2017 | Content area: Investment Adviser
This is an example of a trade ticket submitted by a peer.
3/22/2017 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission”) is adopting an amendment to the Settlement cycle Rule (Rule 15c6-1(a)) under the Securities Exch...
3/02/2017 | Content area: Broker-Dealer
FINRA has published FAQs to assist broker-dealers with the reporting of Treasuries transactions to TRACE. The SRO notes that the participation agreeme...
11/16/2016 | Content area: Broker-Dealer
The long-awaited National Market System plan to create a Consolidated Audit Trail was approved Nov. 15 by a unanimous vote of the SEC’s commissioners....
11/15/2016 | Content area: Broker-Dealer
I also want to underscore that the Commission is also very closely focused on information security with respect to its own interaction with CAT. As w...
11/15/2016 | Content area: Broker-Dealer
As we just heard, the CAT raises significant data security concerns, both with respect to trading information and personally identifiable information ...
11/15/2016 | Content area: Broker-Dealer
Under the amended CAT Plan, LEIs for industry members and customers are not required. This will leave regulators and industry participants near-sight...


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