A broker-dealer settled FINRA charges for failing to accurately calculate its required customer reserve, which resulted in recordkeeping, reporting, supervision and customer protection rule violations.

The NFA charged a Singapore-based, CFTC-registered introducing broker and its managing director with failure to maintain records of oral and written transaction communications and related supervisory failures.

The Financial Accounting Standards Board published three proposed Taxonomy Implementation Guides relating to accounting changes, reorganizations and reinsurance-related disclosures.

Numerous buy-side trade associations requested additional time to comment on the SEC's proposed regulation of private fund advisers.