A broker-dealer and the firm's president and chief compliance officer settled NYSE American charges for improper use of error accounts, and discretionary transaction, recordkeeping, supervision and control violations.

The SEC approved a proposed rule change allowing multiple CBOE exchanges - BYX, BZX, EDGA and EDGX - to offer their members "Hard to Borrow List" functionality, that users may elect to apply to their short sale orders in U.S. equity securities.

Forty-four state financial regulators settled charges against over 400 mortgage loan originators for false claims on the completion of state and federal annual continuing education requirements.

In comments on a proposed update to IOSCO's 2011 "Principles for the Regulation and Supervision of the Commodity Derivatives Markets," FIA asserted that IOSCO should clarify that the principles only "apply to exchange traded derivatives on a physical commodity or a non-financial deliverable with a finite supply."

A broker-dealer settled charges for failure to establish reasonable risk management protocols and supervisory efforts regarding Exchange Traded Product order flow.