The SEC Office of the Investor Advocate recommended that the SEC disapprove a Cboe EDGA Exchange, Inc. rule proposal to introduce a Liquidity Provider Protection Delay Mechanism.

A broker-dealer settled FINRA charges for failures of supervision and "best execution" obligations.

The CFTC notice of an extended comment period on proposed swap dealer capital rules was published in the Federal Register.

In a new white paper, ISDA examined the potential impact on the derivatives markets of recently enacted sanctions programs in the United States, the European Union and elsewhere.

An insurance and financial holding company settled SEC charges for failing to maintain (i) accurate books and records and (ii) a sufficient system of internal account controls in connection with its annuities products.