A broker-dealer settled charges with the SEC for mismarking millions of short- and long-sale orders.

The Financial Information Forum asked FINRA for clarification on new requirements for order routing disclosure reports for OTC and National Market System equity securities orders.

A broker-dealer settled FINRA charges for inaccurately reporting information pertaining to its handling of customers' orders in National Market System securities.

The SEC approved a FINRA proposal to establish new order routing disclosure report publication requirements for OTC and National Market System equity securities orders.

SIFMA and the Financial Information Forum urged the SEC to better understand the "magnitude" of the costs associated with changing the funding model for the National Market System Plan Governing the Consolidated Audit Trail.