A registered floor broker, self-employed as a trader, agreed to settle CFTC charges for "spoofing" in the futures market.

CFTC Chair Heath P. Tarbert named the new Director of the Division of Clearing and Risk.

A FINRA proposal to extend exemptions to certain small broker-dealers from the Order Audit Trail System was published in the Federal Register.

A CFPB proposal to change the definition of qualified mortgage under the Truth in Lending Act and the Ability to Repay/Qualified Mortgage Rule was published in the Federal Register.

The North American Securities Administrators Association advised broker-dealers to review sales practices for non-traditional exchange-traded funds, warning that these products pose unique risks.