FINRA provided a Consolidated Audit Trail Onboarding Guide to members. The Guide provides information for first time users to access the CAT Test and Production Environments.

The SEC proposed to (i) expand the definition of "exchange" under SEA Rule 3b-16 to include systems that only display "trading interest" (as opposed to "orders") including by use of "communication protocols"; and (ii) remove the exemption that Regulation ATS currently provides to systems that trade only government securities.

Six U.S. federal executive departments collectively issued an Advisory on the risks associated with doing business in Burma.

A firm settled FINRA charges for failure to establish and implement AML policies and procedures.