The CFTC published in the Federal Register a request for information and comment on potential modifications to its swap clearing requirement to address benchmark reform.

A broker-dealer settled FINRA charges for failing to immediately display customer limit orders and for related supervisory violations.

A broker-dealer and its principal settled FINRA charges for negligent misrepresentations, omissions and supervisory failures concerning the offering of promissory notes issued by its parent company.

FINRA proposed amendments to rules on transaction reporting that would provide additional transparency into delayed Treasury spot and portfolio trades through the use of "specific modifiers."

The SEC staff granted no-action relief to an Australian security-based swap dealer from certain financial reporting requirements.