In its June disciplinary report, FINRA recapped actions taken against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws, rules and regulations.

The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance deadlines, effective dates and reporting deadlines.

NFA and the Alternative Investment Management Association reacted to a CFTC proposal to modify the collection of data from certain registered CPOs.

A broker-dealer settled FINRA charges for violating certain rules on short sales practices and related supervisory failures.

NFA extended relief previously provided to futures commission merchants / introducing brokers, swap dealers and forex dealer members from certain recordkeeping requirements.