A firm settled FINRA, NYSE Arca, Inc. and NYSE American charges for supe rvisory failures in connection with partial tender offers.

The Cabinet Regulatory Tracker is a list of comment deadlines and effective dates.

In three separate notices, NFA reminded (i) futures commission merchants, forex dealers, and introducing brokers, (ii) CPOs and CTAs, and (iii) swap dealers on reporting requirements, and common deficiencies in regulatory compliance.

A broker-dealer settled FINRA charges for failing to monitor sufficiently for improper trading.

An investment adviser settled SEC charges for imp roperly promoting hypothetically back-tested performance information.