The CFTC adopted amendments to allow foreign trade boards to offer direct trading access to US-based introducing broker participants.

A firm settled FINRA and NYSE Chicago charges for failing to adhere to standards on the routing of intermarket sweep orders and for failing to maintain an adequate supervisory system.

The FDIC solicited comments on deposit data information that is not currently required to be submitted for the Federal Financial Institutions Examination Council's Consolidated Reports of Condition and Income or for reports on uninsured deposits.

A broker-dealer settled FINRA charges for supervisory failures on trading "that appeared to be potentially excessive and unsuitable."

The FDIC proposed amendments to "enhance the supervisory framework" on industrial banks and industrial loan companies.