The U.S. Court of Appeals for the Ninth Circuit affirmed a preliminary injunction sought by the CFTC in a case involving fraud-related charges against a precious metals credit company.

The SEC named YJ Fischer Director of the Office of International Affairs.

The National Credit Union Administration Board proposed a rule to establish a simplified method of measuring capital adequacy for complex credit unions.

An options firm settled NYSE American charges for mismarking long sale orders as "short," and short sale orders as "long," due to intermittent system issues and programming errors.

The SEC Department of Examinations observed deficiencies with respect to compliance programs, conflicts of interest and disclosures in the practices of investment advisers executing principal and cross trades in fixed income securities.