The CFTC's Division of Clearing and Risk withdrew its "Staff Advisory Relating to Prime Brokerage Arrangements and Derivatives Clearing Organization Registration," effective immediately.

A broker-dealer settled FINRA charges for inaccurate net capital calculations, misreporting thousands of municipal securities transactions, and Regulation Best Interest supervisory compliance failures.

The CFTC Division of Market Oversight has extended time-limited no-action relief from certain position aggregation requirements under CFTC Rule 150.4 ("Aggregation of positions"). The relief applies to notice filing and aggregation obligations, including those involving owned entities, insubstantially identical trading strategies and independent account controllers.

FINRA barred a registered representative for failing to provide documents requested during an investigation into the alleged transfer of funds from a client's account for the broker's personal benefit.

The CFTC Division of Market Oversight amended a no action letter to modify the conditions under which a not-for-profit academic prediction market may operate in the US.