FINRA recapped disciplinary actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
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FINRA reported the total amount that it issued in fines as well as the amount in fines-eligible expenditures in 2018.
The U.S. House Agriculture Subcommittee on Commodity Exchanges, Energy, and Credit considered testimony on international developments that could affect the U.S. derivatives markets.
A former financial services executive pleaded guilty to DOJ antitrust charges, admitting to a bid-rigging conspiracy to borrow pre-release American Depository Receipts.
The U.S. Treasury's Office of Financial Research named Dino Falaschetti as its new Director.