A broker dealer settled SEC charges for reporting and suspicious activity report filing failures.

SIFMA called on the SEC to treat its draft strategic plan as a blueprint for action, pressing the agency to modernize outdated rules, rein in regulation-by-enforcement, and tighten its own cybersecurity practices.

An options market maker settled Nasdaq Texas claims that it failed to meet continuous two-sided quoting requirements and failed to supervise that obligation.

The CFTC and the SEC solicited comment on "potential ways to further implement portfolio and cross-margining of securities and derivatives."

A municipal securities dealer settled FINRA claims for charging customers unfair prices on municipal bond trades and failing to supervise its pricing.