A broker-dealer settled charges with FINRA and multiple exchanges for failing to properly surveil its client broker-dealers for potential manipulative trading.

FINRA updated its Regulatory Extension system to support broker-dealers' transition to the shortened standard settlement cycle from two business days (T+2) to one business day (T+1).

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

Instinet, which provides market access and execution services to institutional market participants, settled FINRA charges for failing to capture certain protected quotation data necessary for informed decision-making when routing intermarket sweep orders to exchanges.

A broker-dealer settled FINRA charges for overreporting the number of shares associated with its short interest positions.