A broker-dealer settled FINRA charges related to reporting, recordkeeping and supervisory failures on inaccurate net capital and customer reserve calculations.

The research firm TABB Group will host the Equities 2019 Forum on June 13, 2019 in New York City.

SEC Division of Trading and Markets Director Brett Redfearn described the agency's response to volatility and fragmentation concerns in the U.S. equity markets.

CFTC Chair J. Christopher Giancarlo called for the UK and EU to reach a mutually beneficial financial services arrangement before Brexit.