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.

The CFTC Market Participants Division issued no-action relief allowing persons to exclude energy commodity swaps with commercial end-users from swap dealer de minimis threshold calculations. The relief is subject to recordkeeping and monthly reporting requirements for a three-month pilot period.

The New York Stock Exchange adopted new Rule 5310 to establish best execution obligations for member organizations and associated persons.

In an advisory opinion, the Consumer Financial Protection Bureau clarified the definitions of the terms "credit" and "finance charge" as they apply to "Covered Earned Wage Access" under Truth in Lending Act regulations.