FINRA proposed rule amendments to increase the position and exercise limits on select conventional options for exchange-traded funds.
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In an address to the Financial Stability Oversight Council, SEC Chair Jay Clayton provided an overview of the operations of securities markets since the start of the pandemic.
A broker-dealer settled Nasdaq Stock Market LLC charges for failure to maintain "a continuous two-sided trading interest during regular market hours at prices within certain percentages away from the National Best Bid or Offer."
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates, reporting deadlines, expiration dates and delayed actions.
A CFTC proposal to amend Part 38 of the CFTC Rules to include electronic trading "Risk Principles" was published in the Federal Register.