Topic
Transaction Reporting
79 published works
Energy and Utilities
ACER publishes RRM requirements for transaction reporting under REMIT
The Agency for the Co-operation of Energy Regulators (ACER) has published a document on the requirements for the registration of registered reporting mechanisms (RRM) under the Regulation on wholesale energy…
Corporate & Financial Weekly Digest
FINRA Proposes Rule Change to Identify Transactions with Non-Member Affiliates
By Janet M. Angstadt, James Van De Graaff, Ross Pazzol
The Financial Industry Regulatory Authority proposed a rule change to amend FINRA Rule 6700 Series to require member firms to identify transactions with non-member affiliates in Trade Reporting and Compliance…
Energy and Utilities
ACER consults on transaction reporting user manual and RRM requirements for transaction reporting under REMIT
The Agency for the Co-operation of Energy Regulators (ACER) has published consultation documents on the transaction reporting user manual (TRUM) and registered reporting mechanism (RRM) requirements for transaction reporting under…
Banking, Finance and Securities
FCA Market Watch no. 46
The FCA has published issue 46 of its Market Watch newsletter which covers market conduct and transaction reporting issues. In this issue of Market Watch, the FCA provides an overview…
Banking, Finance and Securities
GC14/2: Consultation on version 3.1 of the TRUP
The FCA has published Guidance Consultation 14/2: Consultation on version 3.1 of the Transaction Reporting User Pack (TRUP) (GC14/2). The current version of the TRUP was published on 1 March…
Corporate & Financial Weekly Digest
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to Asset-Backed Securities Transaction Reporting
Co-authored by Natalya S. Zelensky The Securities and Exchange Commission has approved proposed amendments to transaction reporting and notification requirements in the Financial Industry Regulatory Authority Rule 6700 Series and…
Corporate & Financial Weekly Digest
FSA Fines City Index for Transaction Reporting Failures
By Edward Black
On January 20, the UK Financial Services Authority (FSA) published a final notice announcing that it had fined City Index Limited £490,000 (approximately $780,000) for failing to provide accurate transaction…
Corporate & Financial Weekly Digest
CESR Publishes Consultation Paper on Transaction Reporting
By Edward Black
On July 19, the Committee of European Securities Regulators (CESR) published consultation paper CESR/10-809 setting out proposals for transaction reporting for over-the-counter (OTC) derivatives and the extension of the scope…
Corporate & Financial Weekly Digest
SEC Approves Amendments Regarding Reporting Transactions to the OTC Reporting Facility
The Securities and Exchange Commission has approved amendments relating to the reporting of over-the-counter (OTC) transactions in non-National-Market-System stocks to the OTC Reporting Facility (ORF). Effective November 1, firms must…