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FINRA announced today that it has fined Barclays Capital Inc. $1.3 million for systemic and significant Order Audit Trail System (OATS) reporting violations and related supervisory failures.
Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier. See additional information regarding this change in Regulatory Notice 19-30.
Testing
From Monday, June 1, 2020, through Friday, July 31,
GUIDANCE
Supervisory Controls
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Institutional Securities ActivitiesRule 3012
(Supervisory Control System)Rule 3010 (Supervision)
Supervisory Control Procedures
Written Supervisory Procedures
Executive Summary
On September 30, 2004, the Securities and Exchange
Guidance on Liquidity Risk Management Practices
Firms involved in mergers, acquisitions, asset transfers (which may include but is not limited to registered representatives and customer accounts) and other operational changes must attend to various regulatory and investor-protection obligations.
FINRA encourages firms, and in some cases requires them, to notify their FINRA coordinator when planning these changes. By discussing these proposals
FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
OATS Phase III Frequently Asked Questions
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.