A broker-dealer settled charges by FINRA and other SROs for failing to (i) establish a supervisory system to detect and resolve manipulative trading alerts or (ii) respond to "red flags" generated by an automated surveillance system.

In a white paper, the FIA reviewed the role of clearing firms (i.e., futures commission merchants, in the United States) in derivatives markets.

At a "National Native Coalition listening session," Federal Reserve Board Vice Chair Lael Brainard described potential benefits of proposed revisions to the Community Reinvestment Act.

SIFMA raised "serious concerns" that the application of the SEA rule on quotations without specific information to private debt securities would adversely affect the value and liquidity of private resales of securities to institutions.

CFTC Commissioners Caroline D. Pham and Summer K. Mersinger criticized the CFTC's failure to amend CFTC Rules requiring that derivatives transaction execution facilities comply with specified "core principle" requirements in light of long-standing staff relief.