FINRA proposed revisions to the content outline for Research Analyst exams (FINRA Series 86/87).

An introducing broker two of its peresonnel settled NFA charges for acting without a "bona fide reason" for placing favored customer as a counterparty in trades with other customers; NFA alleged the actions generated profits for the favored customer and additional brokerage fees at the expense of other customers.

FINRA proposed several amendments to remove overlapping requirements concerning (i) clock synchronization for recording market events; (ii) quote and order access; (iii) reporting requirements on certain information for orders in OTC equity securities and (iv) recording of quotation information on an inter-dealer quotation system.

A tobacco manufacturer registered in India settled OFAC charges for violating North Korea sanctions regulations.

A CFTC-registered futures commission merchant ("FCM") settled NFA charges for recordkeeping, reporting, disclosure and supervision failures.