A free virtual panel for broker dealers and investment advisors on industry hot topics or trends. These sessions are intended to be brief summaries of topics selected from recent enforcement actions or other relevant industry releases.
Fixed Income Trade Reporting
August 13, 2025
12:00-12:30 Central
Panelists:
Jesy LeBlanc from TRADEliance
Kat Miller from TRADEliance
About this Panel
TRADEliance has observed a FINRA enforcement trend in recent years for fixed income trade reporting issues. This topic appears to be an unwritten FINRA priority.
This panel is designed to:
- Provide education on applicable rules
- Provide insight on specifications
- Review enforcement trends
- Share best practices and considerations for both compliance and operations
Rule References
FINRA 6700 Series | MSRB G-14