A broker-dealer settled FINRA charges for failing to implement a supervisory system designed to protect customers in connection with the sale of "volatility-linked exchange-traded products."

The SEC and the DOJ Antitrust Division signed an interagency Memorandum of Understanding to promote greater competition within the securities industry.

The European Council and the European Parliament approved a deal outlining a regulatory framework relating to the recovery and resolution plans of central counterparties.

A broker-dealer settled FINRA charges for failure to supervise and to implement a satisfactory system of risk management controls.

A broker-dealer settled SEC and FINRA charges for reporting incomplete and inaccurate securities trading information.