The SEC Division of Trading and Markets permitted a swap dealer to clear securities of an affiliated banking entity without customer segregation, subject to a subordination agreement between them.

The SEC Division of Trading and Markets permitted a broker-dealer to use a modified securities count framework for "capital balance funds" that report ownership by dollar value rather than share count.

The National Securities Clearing Corporation outlined plans to expand its Universal Trade Capture capabilities to support transaction processing on a 24x5 basis.

The SEC charged three brothers and three associates with orchestrating a market manipulation and insider trading ring involving pharmaceutical stocks and stolen clinical trial data.

The International Swaps and Derivatives Association, the Association for Financial Markets in Europe, and the Institute of International Finance urged European regulators to delay the implementation of new market risk rules to align them with global timelines.