A firm settled FINRA charges for failing to use the required special condition indicator in municipal securities trades and for omitting or misstating mark-up disclosures on retail confirmations.

A firm settled Nasdaq PHLX LLC charges brought for recordkeeping and supervisory violations related to manually routed options orders.

The Managed Funds Association ("MFA"), Futures Industry Association (“FIA”) and Asset Management Group of the Securities Industry and Financial Markets Association (“SIFMA AMG”, and together with MFA and FIA, the "Associations") urged the Commodity Futures Trading Commission ("CFTC") to extend time-limited no-action relief from certain position aggregation requirements under CFTC Rule 150.4 ("Aggregation of positions").

A firm settled FINRA charges for failing to monitor its representatives' rates of variable annuity exchanges.

SIFMA praised the introduction of the "Protecting Private Job Creators Act," a bill that would exempt fixed-income securities from disclosure and quotation requirements in secondary markets.