The SEC instituted proceedings to determine whether to approve a FINRA proposal that would change margin requirements for certain types of "protected" index options.

Five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers settled charges with the SEC and CFTC for recordkeeping violations after failing to preserve electronic business-communications made using their personal devices.

A broker-dealer settled charges with FINRA and NYSE Arca for over-tendering shares into partial tender offers.

House Financial Services Subcommittee Chair Blaine Luetkemeyer (R-MO) requested information from the SEC and FINRA on their efforts to address "serious" national security issues raised by broker-dealers that have ownership connections to the Chinese Communist Party.

Sia Partners, a global management consultancy, identified additional market participants' concerns on an SEC proposal to require central clearing of Treasury security transactions and repurchase agreements.