The SEC and the DOJ Antitrust Division signed an interagency Memorandum of Understanding to promote greater competition within the securities industry.

The European Council and the European Parliament approved a deal outlining a regulatory framework relating to the recovery and resolution plans of central counterparties.

A broker-dealer settled FINRA charges for failure to supervise and to implement a satisfactory system of risk management controls.

A broker-dealer settled SEC and FINRA charges for reporting incomplete and inaccurate securities trading information.

FINRA will enhance the user interface for the Uniform Application for Securities Industry Registration or Transfer.