FINRA fined a broker-dealer for violations relating to extended settlement transactions.
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CME Europe Limited requested that the CFTC withdraw its registration as a foreign board of trade after the voluntary closure of the exchange.
The U.S. Court of Appeals for the Second Circuit vacated a District Court judgment dismissing a securities fraud class action against several major securities exchanges.
The National Futures Association reminded firms that changes to filing requirements for swap valuation dispute notices and monthly swap dealer risk data reports will become applicable in January 2018.
A proposed CFTC exemptive order that would allow certain derivatives clearing organizations to invest futures and swap customer funds in French and German sovereign debt was published in the Federal Register.