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The Congressional Research Service reviewed the Policy debates over rebates that retail brokerage firms receive for directing retail investor stock trades to certain venues, known as "payment for order flow."

A firm settled charges with NYSE American and NYSE Arca for processing equity transactions in underlying securities after becoming aware of undisclosed terms and conditions of customer options orders.

A broker-dealer settled NYSE Arca charges for (i) failing to obtain customer consent prior to adjusting an options trade, (ii) executing the trade at terms that the customer had said were not acceptable and (iii) recordkeeping failures.