A broker-dealer settled FINRA charges that it failed to properly handle customer limit orders in OTC securities.

Mitsubishi Corporation settled CFTC and NYMEX charges for disruptive trading practices involving precious metals futures products.

The CFTC and DOJ settled charges with a proprietary trading firm for engaging in spoofing in equity futures contracts over a two-year period.

An SEC proposal to tighten the requirements that broker-dealers must meet before being permitted to post public quotations on OTC securities was published in the Federal Register.

The Commodity Exchange charged several traders in separate actions for disruptive practices and general offenses.

The New York Mercantile Exchange charged two traders for block trade submission violations and prearranged transactions, respectively.

The comment deadline for a CFTC proposal amending swap data reporting regulations was extended from October 28, 2019 to January 27, 2020.

A FINRA rule proposal extending its current pilot program for reviews of clearly erroneous transactions in exchange-listed securities was published in the Federal Register.

A broker-dealer settled FINRA charges for failing to report Trade Reporting and Compliance Engine-eligible securities.

The Senate Banking Committee considered data protection and other concerns raised about the consolidated audit trail system.