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FINRA released, for the first time, aggregate data on the trading volume of Treasury securities reported to the Trade Reporting and Compliance Engine ("TRACE").

FINRA notified firms that their Final Statements are available for review in the E-Bill system.

FINRA reminded broker-dealers that provide quotations in the securities of a foreign private issuer to make available specified information upon request to any person that expresses an interest

FINRA reminded member firms to register with FINRA CAT, LLC for Consolidated Audit Trail ("CAT") reporting by June 27, 2019.

FINRA reminded market participants that it will no longer support the Computer-to-Computer Interface ("CTCI") as a reporting method for TRACE and Over-the-Counter Reporting (or "ORF") products.

FINRA reminded members firms that ballots are due on November 20, 2019 for (i) filling the New York Region representative position on the Small Firm Advisory

As part of its retrospective rule review, FINRA requested comments on the "effectiveness and efficiency" of a rule regarding business continuity plans and emergency contact information.

In its upcoming July 11th meeting, FINRA will consider a proposal to solicit comment via Regulatory Notice on proposed rules and related forms governing funding portals pursuant to Title III of the JOBS Act.

FINRA will consolidate its Examination and Risk Monitoring Programs into a unified program to promote oversight and consistency ...

FINRA updated the Supplemental Statement of Income ("SSOI") to conform with SEC rule amendments that "simplify and update certain of the FOCUS reporting requirements for broker-dealers."

The firm neither admitted to nor denied the findings.

In today's Fund Finance Friday: Industry Conversations, Cadwalader's Samantha Hutchinson hosts Stephen Quinn of 17Capital to discuss liquidity solutions during the COVID-19 era.

While providing guidance to Wall Street has always been the domain and dance of the CFO, this year has been quite the challenge.

Registered investment advisers and exempt reporting advisers are required to file their annual Form ADV amendment within 90 days after their fiscal year end.

The Board of Governors of the Federal Reserve System ("FRB") approved a final rule to implement single-counterparty credit limits for U.S. bank holding companies and foreign banking organizations operating in the United States with $250 billion or more in total global consolidated assets.

The Federal Reserve Board ("FRB") and the FDIC completed their evaluations of the 2018 resolution plans for 82 foreign banks.

The Federal Reserve Board and FDIC made public non-confidential sections of the resolution plans (or "living wills") of eight large domestic firms.

The Federal Reserve Board ("FRB") introduced a more tailored examinations process for assessing the safety and soundness of community and regional state member banks.