A broker-dealer settled FINRA charges for failing to implement a supervisory system designed to protect customers in connection with the sale of "volatility-linked exchange-traded products."

The FDIC issued a proposed rule that would codify certain required commitments that are typically imposed as a condition to granting approvals of an industrial bank's or industrial loan company's deposit insurance applications.

FINRA released, for the first time, aggregate data on the trading volume of Treasury securities reported to the Trade Reporting and Compliance Engine.

A broker-dealer settled FINRA charges for failing to implement a supervisory system in connection with the sale to retail investors of leveraged and inverse-indexed exchange-traded products.

SEC Commissioner Elad L. Roisman urged financial regulators to consider the benefits of applying certain elements of current oversight of the equity markets to the market for U.S. government securities.

FINRA provided Q&A guidance on amendments to TRACE reporting rules that become effective on June 1, 2020.

The North American Securities Administrators Association advised broker-dealers to review sales practices for non-traditional exchange-traded funds, warning that these products pose unique risks.

FINRA requested comment on a proposal to expand the alternative trading system volume data published on the FINRA website to include transactions in corporate bonds and agency debt securities.

FINRA increased margin requirements for exchange-traded notes and options in order to address the complexity of these products, as well as confirming that exchange-traded notes and options on them are not allowed for portfolio margining.

FINRA's proposal amending rules on Transaction Reporting of TRACE-Eligible Securities, to extend the reporting period and adopt a new modifier to identify certain transactions, was published in the Federal Register.

FINRA proposed to amend reporting rules to give members more time to report TRACE transactions that are "executed to hedge a primary market transaction" and to adopt identifiers for these transactions.

A broker-dealer agreed to settle FINRA charges for failing to establish, maintain and implement a sufficient supervisory system to monitor the sales of nontraditional exchange-traded funds.

FINRA proposed a rule change granting temporary relief to member alternative trading systems and ATS subscribers as they transition to disaggregated reporting for certain transactions in U.S. Treasury securities.

In a Regulatory Notice, FINRA reminded firms that after April 12, 2019, member subscribers on an alternative trading system and ATSs will be obligated to "report to TRACE each transaction in U.S. Treasury securities executed in trading sessions on an ATS on a disaggregated basis."

SIFMA supported a Fixed-Income Clearing Corporation proposed rule change to expand the number of firms eligible to act as "Sponsoring Members" for repurchase transactions in U.S. government securities.

FINRA reminded members not to report auction purchases of U.S. Treasury securities to the Trade Reporting and Compliance Engine.

The U.S. Treasury Department amended certain broker-dealer recordkeeping and reporting rules to conform to recently updated SEC rules for broker-dealers.

CFTC Chair J. Christopher Giancarlo reviewed the findings from a recent study by the Office of the Chief Economist on the relative liquidity of exchange-traded futures contracts and cash securities in the U.S. Treasury market.

SIFMA advocated for "full disclosure and transparency by benchmark sponsors" in response to an MSRB request for feedback on the accessibility, methodology and utility of indices, yield curves and benchmarks in the municipal market.

In its Annual Report to Congress, the Office of Financial Research found that risks to U.S. financial stability are "in the medium range overall."

The U.S. Treasury Department's final rule amending the Large Position Reporting rules was published in the Federal Register.

FINRA announced the effective date of a modified trade reporting regime for agency debt securities.

The SEC approved an amendment to FINRA’s Trade Reporting and Compliance Engine (TRACE) rules.

IOSCO provided guidance on the methods by which its members can ensure that retail investors are protected from OTC leveraged products.

A dual-registered broker-dealer and adviser, along with its employees, agreed to settle SEC charges for supervisory failures regarding recommendations to customers to purchase and hold "non-traditional ETFs."