The US watchdog has asked market participants to submit comments on how they would enhance the way the data is collected for FINRA’s TRACE for US Treasury securities.
A study from Market Structure Partners carried out for the European Commission has recommended the EU moves forward with plans to form a consolidated tape.
The US watchdog has extended a delay for broker-dealers reporting to the CAT after system officially went live earlier this month.
The fine for BNP Paribas was related to failures around the AML system to identify suspicious penny stock trades and wire transfers over a four-year period.
FINRA has said JP Morgan filed allegations of misconduct of its employees up to two years later than required 89 times.
FINRA has fined Interactive Brokers for failing to comply with short selling rules between 2012 and 2015.
Nasdaq and FINRA will increase reporting fees as costs of operating its trade reporting facility have risen 16% since 2012.
Crypto platform Uphold will buy broker-dealer JNK Securities and will apply to operate an alternative trading system (ATS) in the US.
Financial authorities in Asia and the US fined agency broker Instinet for several violations related to market access and trading systems.