The US Court of Appeals for the District of Columbia Circuit ordered an administrative stay of a District Court decision to vacate a CFTC Order prohibiting a DCM from listing its congressional control contracts for trading.

A firm settled FINRA charges for (i) failing to supervise unsuitable short-term trading of syndicate preferred stocks, closed-end funds and medium-term notes and (ii) allowing representatives to profit from repeated short-term trades that led to customer losses.

The Federal Reserve, FDIC and OCC extended the comment period on their Request for Information on bank-fintech arrangements. Comments are now due on or before October 30, 2024.

In an "After Action" report, SIFMA lauded the successful transition of the US securities market to a T+1 settlement cycle as of May 28, 2024.

The CFTC adopted amendments to filing requirements common to registered entities, including for designated contract markets, derivatives clearing organizations, swap execution facilities and swap data repositories.