A broker settled FINRA charges for violating Qualification Examinations Rules of Conduct while taking the Securities Industry Essentials examination.

To address issues related to their proposed merger, T-Mobile and Sprint agreed to settle an antitrust case brought by the DOJ and Attorneys General for five states.

The Court of Appeals for the Ninth Circuit reinstated a CFTC complaint against a precious metals credit company for defrauding retail customers through illegal, off-exchange leveraged commodity transactions.

An SEC and CFTC joint proposal to (i) lower the minimum customer margin requirement for security futures and (ii) revise the margin offset table consistent with the proposed reduction was published in the federal register.