A futures commission merchant agreed to pay a civil monetary penalty to settle CFTC charges that it failed to maintain adequate systems for reconciling exchange and clearing fees.

The SEC clarified that a technical amendment to the definition of "fully paid securities" under Exchange Act financial responsibility rules for broker dealers was not intended to expand the scope of securities considered as fully paid securities.

On October 19, 2017, SIFMA will host a Credit & Margin October Dinner.

The CFTC charged a New York-based company with defrauding investors through an alleged Ponzi scheme involving bitcoins.

The SEC Division of Corporate Finance granted no-action relief to mass media company CBS Corporation from certain Exchange Act tender offer requirements.