The CFTC stayed a request on a rule certification filing by a clearing corporation that would facilitate the offering of election betting contracts. The CFTC requested public comment on the rule certification filing for the proposed contracts.

A firm settled FINRA charges for inaccurately reporting over two million transactions in TRACE-eligible securities and municipal securities.

A firm settled FINRA charges for supervisory failures related to foreign associates, improper preservation of business communications and permitting an unregistered foreign associate to engage in US securities activities.

A broker-dealer settled FINRA charges for engaging in "spoofing" and "cross spoofing" in US Treasury securities markets.

A broker-dealer settled FINRA charges for pricing violations related to corporate bond transactions that resulted in excessive charges to customers.