A firm settled FINRA charges for failing to timely file private placement offering documents.

FINRA proposed a five year extension on the expiration date of a rule requiring members to truncate time stamps after the nanosecond level when reporting data to the Consolidated Audit Trail.

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.