The Fixed Income Clearing Corporation proposed rule changes to expand the availability of its "Cross-Margining Arrangement" with the Chicago Mercantile Exchange Inc. "to positions cleared and carried for customers by a dually registered broker-dealer and futures commission merchant."

A trading center settled FINRA charges for failing to ensure routed orders met inter-market sweep order requirements and for failing to prevent prohibited trade-throughs of protected quotations.

The CFTC's Market Participants Division issued a letter extending its no-action position on swaps intended to be cleared and traded on eligible UK Trading venues.

FINRA censured and fined a broker-dealer for publishing inaccurate and incomplete quarterly reports.

The Texas State Securities Board entered separate Orders against five broker-dealers for charging retail customers unreasonable commissions on small-dollar equity transactions.