In connection with the recent extension of temporary relief provided to broker-dealers from large trader reporting requirements, FINRA and the other U.S. self-regulatory organizations that are members of the Intermarket Surveillance Group ("ISG") extended the effective date for compliance with certain data elements related to large trader reporting from November 1, 2017 to November 15, 2018.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
