The SEC requested comment to determine whether to approve or disapprove a proposed rule change by an exchange to list and trade shares of two new highly leveraged exchange-traded funds.

The Nasdaq Stock Market LLC proposed a rule change to grant it discretion to deny initial listings to companies deemed susceptible to market manipulation.

SIFMA President and CEO Kenneth E. Bentsen, Jr. argued that FINRA must implement targeted reforms to its arbitration forum to prevent undermining the fairness and integrity of the dispute resolution process.

The Office of the Comptroller of the Currency proposed amending its "Heightened Standards" guidelines for large insured national banks and federal savings associations.

A broker-dealer settled FINRA charges for failing to maintain an anti-money laundering program reasonably designed to detect and cause the reporting of suspicious activity and for failing to conduct required customer due diligence.