The CFTC Division of Swap Dealer and Intermediary Oversight analyzed alternative metrics for calculating the swap dealer de minimis threshold.

SEC Deputy Chief Accountant Julie A. Erhardt will leave the agency after 14 years of service.

Allison H. Lee was sworn in as SEC Commissioner.

A broker-dealer settled FINRA charges of failure to "establish, maintain and enforce a sufficient supervisory system ... reasonably designed to achieve compliance with applicable securities laws and regulations."

A former general securities representative settled FINRA charges for unauthorized trading and discretionary decision-making in the accounts of two elderly customers.