A broker-dealer agreed to settle SEC charges for the improper handling of "pre-released" American Depositary Receipts and related supervisory failures.

FINRA proposed modifying the schedule of securities transaction credits applicable to FINRA/Nasdaq Trade Reporting Facilities.

FINRA CAT, LLC, the FINRA Consolidated Audit Trail Plan Processor responsible for building and managing the platform, selected Amazon Web Services, Inc. as its cloud provider.

In a newly published consultative document, the Bank for International Settlements Basel Committee on Banking Supervision proposed several "limited adjustments" to the credit valuation adjustment risk framework.

FINRA reminded market participants that on December 2, 2019, additional firm data concerning OTC equity trading will be available on the agency's website.

A broker-dealer settled FINRA charges for failing to report "millions" of reportable order events to the Order Audit Trail System.

A FINRA proposal to delay the implementation date of rule amendments on margin requirements for Covered Agency Transactions was published in the Federal Register.

FINRA proposed extending the implementation date of rule amendments on margin requirements for "to-be-announced" transactions and other forward-settling agency securities transactions.

The New York Mercantile Exchange charged two traders for block trade submission violations and prearranged transactions, respectively.

The comment deadline for a CFTC proposal amending swap data reporting regulations was extended from October 28, 2019 to January 27, 2020.