The SEC granted a Belgian company relief from certain SEA requirements as to the conduct of tender offers in the Belgian company's planned acquisition of shares of another Belgian-incorporated company.
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The CFTC proposed amendments to allow foreign trade boards ("FBOTs") to offer direct trading access to U.S.-based introducing broker participants and to establish a process for FBOTs to request revocation of their registration.
A broker-dealer settled charges with FINRA it sent confirmations to institutions' customers that "inaccurately reflected the capacity in which the firm acted."
A broker dealer settled FINRA charges for failing to disclose to retail customers markup and markdown information on transactions in debt securities, including municipal securities and corporate and agency debt.
The CFTC approved the application of IMX Health as a designated contract market. In its application, IMX Health stated that it will be the first financial futures exchange for the health care industry.