In separate disciplinary actions, the New York Mercantile Exchange fined an individual trader and a proprietary trading firm for spoofing and position limit violations.

The SEC named Rebekah Goshorn Jurata to the Public Company Account Oversight Board (PCAOB) for a five-year term that will run through October 24, 2024. Concurrently, SEC Commissioner Hester Peirce was chosen to lead the SEC's coordination with the PCAOB.

A bank settled OCC charges for violating the statutory holding period for "other real estate owned" and failing to implement corrective measures.

The MSRB-amended proposal to update an interpretive notice on the conduct of municipal securities underwriting and municipal advisory activities was published in the Federal Register. Comments must be submitted by October 29, 2019.