FINRA imposed a total of $14.4 million in sanctions against 12 broker-dealers for failing to preserve records in the required non-erasable and non-rewritable ("WORM") format, and for other violations.

The U.S. District Court for the Northern District of Illinois entered a Consent Order of Permanent Injunction against a trader and his proprietary trading company for allegedly participating in a "spoofing" scheme.

A financial services firm and its parent company agreed to pay a $120 million penalty to settle CFTC charges that it submitted false reports in an attempt to manipulate a global benchmark for interest rate products.

The Board of Governors of the Federal Reserve System extended the comment period for a proposal that would enhance risk-based capital requirements for financial holding companies engaged in physical commodity and merchant banking investment activities.

The SEC requested comments on a FINRA proposal that requires alternative trading systems to include additional order sequence information on reports submitted in the Order Audit Trail System.