The CFTC filed an amended Complaint in its action against Banc De Binary charging three additional corporate affiliates of Banc de Binary, E.T. Binary Options Ltd., BO Systems Ltd., and BDB Services Ltd., with violating the CFTC's ban on off-exchange options trading by offering commodity option contracts to U.S. customers for trading, as well as soliciting, accepting or confirming the execution of orders from U.S. customers. Previously, the CFTC filed a civil complaint in June 2013 against Banc De Binary charging it with violating the CFTC's ban on off-exchange options trading by offering

CFTC announced that on May 21, 2014, the Global Markets Advisory Committee ("GMAC") will hold a public meeting to discuss issues related to the CFTC's coordination with foreign regulators on the oversight of foreign-based swap clearinghouses and foreign SEFs. See: 79 FR 26210.

The CFTC announced the departure, as of May 9, 2014, of CFTC Legislative Affairs Director John Riley. See: Press Release.

FINRA issued a regulatory notice to inform firms that beginning October 1, 2014, firms must select product and problem codes when (i) reporting information regarding written customer complaints alleging theft or misappropriation of funds or securities, or forgery, (ii) reporting quarterly statistical and summary information regarding written customer complaints, and (iii) completing the online form to file copies of required documents. According to the regulatory notice, the first quarterly report using the revised and new codes is due by January 15, 2015, which is the reporting deadline for

The SEC approval of a FINRA-proposed rule to amend FINRA Rule 5210 ("Publication of Transactions and Quotations") to limit self-trading was published in the Federal Register. The rule change, among other things, would add Supplementary Material .02 to FINRA Rule 5210 to address members' obligations with respect to certain securities transactions that result from the unintentional interaction of orders originating from the same firm, known as "self-trades," that involve no change in the beneficial ownership of the security. Furthermore, the rule amendments establish a distinction between two