The NFA suspended a CPO and CTA for failure to register their commodity pool with the NFA.
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The New York State Supreme Court held that the New York Department of Financial Services had the authority to enact a "best interest" standard for sellers of annuities and life insurance.
A futures commission merchant settled NFA charges for failing to compensate retail forex customers whose orders were adversely affected by an ongoing malfunction in the firm's electronic trading platform.
FINRA urged broker-dealers to prepare for the implementation of SEC Regulation Best Interest.
A FINRA proposal to amend rules on "Restrictions on the Purchase and Sale of Initial Equity Public Offerings" and "New Issue Allocations and Distributions" was published in the Federal Register.