On February 2, the Financial Industry Regulatory Authority (FINRA) issued a regulatory notice (Regulatory Notice 21-02) on modifications to its Trade Reporting and Compliance Engine (TRACE) dissemination protocols applicable to agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions.
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FCA Publishes Issue 54 of Market Watch Newsletter
By Nathaniel Lalone & Neil Robson on
Posted in Financial Markets, UK Developments
On November 8, the UK Financial Conduct Authority (FCA) published issue 54 of Market Watch, its newsletter on market conduct and transaction reporting issues.
With the January 3, 2018 implementation date of the revised Markets in Financial Instruments Directive (MiFID II) and Markets in Financial Instruments Regulation (MiFIR) fast approaching, Market Watch contains articles relating to:
Continue Reading FCA Publishes Issue 54 of Market Watch Newsletter