The Business Conduct Committees of the Chicago Mercantile Exchange, Chicago Board of Trade and the New York Mercantile Exchange fined and suspended two traders in separate actions for disruptive trading practices.

A firm settled FINRA charges for mismarking orders.

A dually registered broker-dealer and adviser settled FINRA charges for supervisory failures and unsuitable recommendations which violated duty of care obligations under Regulation Best Interest.

The SEC adopted final amendments "to provide a tailored form to register the offerings of registered index-linked annuities (RILAs) and registered market value adjustment annuities (registered MVA annuities, and collectively with RILAs, non- variable annuities)."

Several associations, representing "a broad universe of [suspicious activity report] filers of various sizes and business models," urged FinCEN to undertake a reassessment of the burden estimate for complying with SARs filing requirements.