FINRA recapped disciplinary actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.

FINRA proposed a three-year extension of its authority to grant certain exemptions from recording and reporting requirements under the Order Audit Trail System.

A commodity exchange settled CFTC charges for failing to meet stress testing requirements pursuant to a derivatives clearing organization registration exemption.

In three separate cases, two futures commission merchants and a guaranteed introducing broker settled CFTC charges for improperly bunching orders, unauthorized trading and failing to diligently supervise.

The Financial Crimes Enforcement Network's Financial Action Task Force updated its list of jurisdictions with strategic anti-money laundering and combating the financing of terrorism deficiencies.