In a letter to the new CFTC Chair Michael Selig, the Managed Funds Association recommended a set of regulatory priorities to reduce duplicative regulations, harmonize efforts with the SEC, and improve market efficiency.

The SEC Division of Trading and Markets permitted the CboeBYX Exchange to disseminate a retail liquidity identifier for certain orders and securities priced below one dollar without collecting and processing best bid, best offer, and quotation sizes.

In remarks to the American Bar Association Banking Law Committee, Comptroller of the Currency Jonathan V. Gould argued that the current framework for bank resolution planning is both legally questionable and, as a practical matter, ineffective.

A firm settled FINRA charges for conducting a securities business while failing to maintain required minimum net capital and for filing inaccurate financial reports and notices.

A firm settled FINRA charges for supervisory failures on low-priced securities transactions, related suspicious activity reporting and the creation and dissemination of statements of held away assets.