CFPB Director Kathy Kraninger described FY 2019 initiatives to coordinate efforts between the CFPB and state agencies to strengthen consumer protection.

A broker-dealer settled FINRA charges for late and inaccurate reporting and recordkeeping violations.

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.

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.

The House Financial Services Committee considered several bills intended to address and prevent predatory debt collection practices.

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.

A broker-dealer settled FINRA charges for failing to report Trade Reporting and Compliance Engine-eligible securities.