FINRA requested comment on proposed amendments to FINRA transaction reporting rules on "delayed Treasury spot trades in corporate debt securities."

The OCC updated its Policies and Procedures Manual on assessing civil money penalties in response to misconduct.

Senate Finance Committee Chair Ron Wyden (D-OR) asked six cryptocurrency exchanges to provide information on their respective asset protection policies.

A brokerage firm settled charges with NYSE American LLC for failing to execute an options trade at the best available price.

A broker-dealer settled FINRA charges for failing to assess the suitability of margin use in customer accounts and to monitor for excessive margin trading.