SIFMA urged the SEC to turn an April staff statement by the Division of Trading and Markets on crypto-asset trading interfaces into a formal rule.

The consolidated equity-market-data plan operating committee ​asked the SEC to approve a cap limiting how much of an exchange's market-data revenue can come from quoting rather than trading.

A self-clearing broker-dealer settled FINRA charges that it failed to report roughly 2.7 million fractional-share trades over three years.

A broker settled FINRA charges for failing to catch suspicious or potentially manipulative trading in thinly traded, low-priced stocks.

The CFTC asked market participants to identify rules, guidance, orders, and no-action letters that may unduly impede fintech firms from working in the derivatives markets.