A broker-dealer settled FINRA charges for registration failures involving two foreign affiliate firm employees who conducted transactions in proprietary trading accounts.

The SEC rejected a Cboe EDGA Exchange, Inc. rule proposal to introduce a liquidity provider protections delay mechanism.

The MSRB published criteria for designating participants in the next round of mandatory functional and performance tests of business continuity / disaster recovery plans.

The House Financial Services Committee voted to report a bill to establish a new statute of limitations applicable to SEC enforcement actions seeking civil monetary penalties.