5d. BD – Current State of Trading and Trade Reporting (Intermediate - OPEN)
From introducing broker-dealers to clearing broker-dealers, all are subject to various trade reporting requirements (e.g., CAT, TRACE, RTRS, 13F, etc.). These requirements can vary based on a variety of factors (e.g., transactions, security, volume, etc.) and are subject to specific timing requirements. This panel will review the different trade reporting requirements, provide an overview of pending changes, areas of regulatory concern, and more.
This session is open to regulators but closed to members of the press.
Learning Objectives:
Review the nuances of the different trade reporting requirements and pending updates to these requirements.
Share practices to help ensure that a broker-dealer is meeting its reporting obligations.
Discuss common reporting issues that firms have reported.
Understand areas of enforcement focus with respect to trading and trade reporting obligations.
Review of T+1 implementation.
