The National Futures Association notified members of forthcoming changes regarding swap valuation dispute notices and monthly swap dealer risk data reports.
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In testimony before a U.S. House Subcommittee, former Equifax CEO Richard F. Smith apologized for the data breach and detailed the company's response to the intrusion.
FINRA filed with the SEC a proposed rule change to conform its rule on trading halts with recent changes to the Regulation NMS Plan to Address Extraordinary Volatility.
The MSRB raised the annual fees charged to municipal advisor firms under MSRB rules related to assessments for municipal advisor professionals.
The SEC charged a New York-based businessman with defrauding investors through two "so-called" initial coin offerings.