A broker-dealer agreed to settle SEC charges for improperly handling "pre-released" American Depositary Receipts.

SEC staff requested feedback on the impact of recent EU rules on research and three related SEC no-action letters.

A broker-dealer agreed to settle FINRA charges for failing to establish and enforce an anti-money laundering program that complies with the Bank Secrecy Act and related regulations.

A CPO and its principal agreed to settle CFTC charges for fraudulent misallocation of trades and recordkeeping failures.

The Financial Crimes Enforcement Network invited the public "to nominate financial institutions, trade groups, and non-federal regulators or law enforcement agencies for membership on the Bank Secrecy Act Advisory Group."