FINRA filed a proposed rule amendment with the SEC to extend the Tier Size Pilot Program for OTC equity securities (i.e., unlisted equity securities).

The SEC Division of Corporate Finance waived the "bad actor" disqualification of a broker-dealer after it settled charges with FINRA.

The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to a commodity pool operator from certain registration and reporting requirements.

The SEC named Julie A. Erhardt as Acting Chief Risk Officer.

The SEC charged an investment banker with fraud for "serial" trading based on confidential, non-public information.